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Financial Services Regulatory Compliance Specialist

Registered Client Associate - Wealth Management

Job in San Jose, Santa Clara County, California, 95199, USA
Listing for: RBC Capital Markets, LLC
Full Time position
Listed on 2026-01-17
Job specializations:
  • Finance & Banking
    Financial Services, Regulatory Compliance Specialist
Job Description & How to Apply Below
A leading financial services firm is seeking a Registered Client Associate in San Jose, CA. You'll be responsible for building relationships with clients, assisting with their inquiries, and ensuring compliance with regulatory standards. Ideal candidates will possess a Bachelor's degree or relevant experience and hold Series 7 and 66 licenses. You'll thrive in a dynamic environment while contributing to a high-performing team dedicated to client satisfaction.

This role offers opportunities for career progression within the firm.
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Position Requirements
10+ Years work experience
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