A successful wealth management firm in Encino, CA is seeking a Registered Client Associate to join their team! This role is to primarily support one wealth advisor in managing 300 households by managing client communications, processing financial transactions and handling a variety of operational tasks to ensure clients receive top-quality service. The ideal candidate has series 7 and 66 registrations, strong organization skills, attention to detail, and the ability to multitask in a dynamic finance services environment. This is an exciting opportunity to develop your financial services career at a friendly, low-stress firm that offers work-life balance, growth opportunities, great management and so much more!

Salary Range: $60, 000 - $70, 000 / year DOE

Registered Client Associate Requirements:

• Series 7 and 66 (or 63/65) registration required
• 2 years of experience in financial services
• Knowledge of securities industry operations and products
• Familiarity with company policies and industry requirements
• High School diploma, GED, or comparable work experience (post-secondary education preferred)
• Proficient in Microsoft Word, Excel, and Outlook
• Strong mathematical aptitude and communication skills
• Good organizational and problem-solving skills
• Attention to detail and ability to manage multiple priorities in a deadline-oriented environment

Registered Client Associate Responsibilities:

• Support wealth advisors, managing 300 households by providing professional, courteous customer service to ensure client satisfaction
• Handle client communications, including phone calls and emails
• Process checks, ACH transfers, and open new accounts
• Execute simple trades and manage operational tasks per advisor directions
• Enter data into Microsoft Dynamics 365 CRM and set up clients on technological platforms
• Stay updated on market trends to engage in client conversations
• Compose and type letters and memoranda as needed
• Assist in developing and implementing periodic client mailings
• Monitor for potential problems and alert the advisor or Branch Manager

Benefits:

• Medical, Dental and Vision insurance
• 401k retirement plan with employer match
• Paid vacation time and sick leave
• Holidays off
• Opportunities for growth and development
• Additional insurances
• Employee-owned
• Great management and office culture that values work-life balance

Apply now!

#LI-POST #LI-ONSITE #LI-KL1