Senior Registered Client Associate
On-site · New York City, New York, United States
Job Summary
Senior Registered Client Associate supports Financial Advisor(s) in Wealth and Investment Management by handling sales, service, and operational activities such as client service via telephone/communication, preparing for appointments, establishing and servicing client accounts, preparing forms, researching inquiries, coordinating referrals, and executing marketing campaigns. Responsibilities include executing administrative functions for Advisors and Branch Management, maintaining regulatory filings and records, and providing knowledge/support to branch staff. Requires prior brokerage/client services experience and FINRA licenses (Series 7 and 63) with ongoing licensing requirements. Strong client-service focus, ability to prioritize in a dynamic environment, and proficiency with Microsoft Office are valued.
Required Qualifications
- 2+ years of Brokerage and Client Services support experience
- FINRA Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
- Compliance with FINRA licensing requirements; obtaining/maintaining appropriate FINRA licenses as applicable
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