Registered Client Associate
$55,000–$85,000 year
Hybrid · Boston, Massachusetts, United States
Job Summary
Registered Client Associate role at Moors & Cabot based in Boston, MA, offering a full-time, hybrid schedule (3 days in office, up to 2 days remote). Responsibilities include direct client communication to service account requests, planning and arranging client meetings, executing money moves (deposits, ACH, wires, withdrawals, rollovers), completing data entry for MoneyguidePro plans and Riskalyze questionnaires, assisting with new account openings, maintaining client relationships, supporting assigned Financial Professionals, and ensuring compliance with FINRA/SEC rules. Administrative duties include maintaining client files and CRM notes, utilizing DocuSign/DocuPace, and generating monthly reports. Requires 3-7 years of experience, an Associate Degree in Business/Finance or related field, SIE license, Series 7 and 66 (or ability to attain within 3-6 months), and proficiency in Microsoft Office, Google Suite, and various fintech tools. Preferred Bachelor’s Degree and licensure expansion; compensation between $55k-$85k with potential bonus and benefits. The role emphasizes integrity, client service, collaboration, and growth within a leading wealth-management firm.
Required Qualifications
- 3-7 years of relevant experience
- Associate Degree in Business, Finance, or related field
- SIE licensed
- Series 7 and 66 (63/65) licensed or able to attain within first 3-6 months of employment
- Confident in using Microsoft Office Suite and Google Suite
- Competent using Concur, RBC, AOS, RedOak, RedTail
- Customer Service
- Math
- Clerical Work
- Reading, Writing, and Oral Expression
- Active Listening
- Critical Thinking
- Social Perceptiveness
- Coordination
- Time Management
- Deductive and Inductive Reasoning
- Initiative
- Persuasion
- Negotiation
Desired Qualifications
- Bachelor’s Degree in Business, Finance, or related field
- SIE license
- Series 7 and 66 (63/65) licenses or ability to attain within 3-6 months
- Microsoft Office Suite proficiency
- Google Suite proficiency
- Concur, RBC, AOS, RedOak, RedTail experience
- Strong customer service
- Financial services knowledge
- Compliance and regulatory understanding
- Data entry accuracy
- CRM and documentation management
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