Senior Registered Client Associate

• Assisting Financial Advisors (“FAs”) with the collection, creation and distribution of investment information.
• Scheduling meetings, creating reminders, gathering and inputting data.
• Onboarding new clients, including the collection of required documentation and client information and regularly communicating with those clients throughout the process.
• Ensuring that key client information and documentation are up to date.
• Answering incoming calls.
• Responding to client and/or administrative issues and demands via phone or written correspondence as appropriate, researching answers as needed.
• Engaging in industry training and education programs to maintain current status on policies and procedures.

• Excellent communication with the team via conference/Zoom calls, instant messenger, phone, email etc.
• An ability to convey messages clearly, concisely, and pleasantly to others in person, by phone or via written correspondence. This includes grammatical proficiency.
• Strong organizational skills are a must; an ability to manage a variety of tasks and prioritize individual workload responsibilities.
• An ability to adhere to strict confidentiality requirements as well as utilize good judgment in the preparation, handling, and distribution of confidential information.
• Positive attitude, willingness to engage in various business projects and initiatives.
• Contribute to business vision and positive/unique team culture.
• Perk but required: knowledge of Wells Fargo software tools.

• Series 7 and 66 Securities License.
• Industry experience required.
• Bachelor’s degree, or equivalent years of experience working within the financial services industry.
• Excellent computer skills and knowledge of Microsoft Office products, Adobe, etc.
• A desire to positively impact the lives of the practice’s clientele and the practice itself.

• Professional and deadline-oriented environment in an office setting.
• Interaction with clients, FA(s), and other team members.
• Potential for in office and remote work environments.

• Medical Insurance
• Vision and Dental Insurance
• Short-term Disability, Life and AD&D Insurance
• 401K Plan