Client Associate, Wealth Solutions & Compliance (ESOP)

Dadavidson; Everett (WA); On-site; USD 55,000 - 65,000; Full time

Benefits offered by this job

Medical/Dental/Vision

401(k) & ESOP

Paid time off

Paid holidays

Professional development

Tuition reimbursement

Personal insurance discount

Charitable gift matching

Davidson Day of Giving

Job summary

D.A. Davidson is seeking an exceptional Registered Client Associate to join the Everett, WA team. This role requires outstanding attention to detail and strong client service, with adherence to regulatory standards and confidentiality for client and firm information.

The successful candidate will support financial planning, account administration, and coordination of client communications, while maintaining high integrity across operations.

Qualifications

• Successful completion of SIE and Series 7 exams and Series 66/63/65 or licensing ability.
• Significant knowledge of securities industry including a range of products.
• At least two years as a Registered Client Associate.
• Post-secondary education preferred.
• Solid technology skills with Word/Excel/Outlook; experience with listed tools preferred.
• Excellent written and verbal communication, and client service skills.

Responsibilities

• Provide professional customer service supporting client satisfaction in regulatory contexts.
• Adhere to Branch, Firm and Compliance policies and regulations.
• Review, maintain and process account documents; inform FA of activities.
• Assist FA with comprehensive financial plans for clients.
• Help develop client mailings, communications and events.
• Facilitate transfer of funds/securities and issue checks as requested.
• Enter orders for stocks, bonds, options, margin and mutual funds.
• Provide administrative support and other duties as assigned.

Skills

SIE

Series 7

Series 66

Client service

Attention to detail

Time management

Overtime flexibility

Education

Post-secondary education

Tools

Microsoft Word

Excel

Outlook

Thomson ONE

Envestnet

CRM

Money Guide Pro

Job description

D.A. Davidson is seeking an exceptional Registered Client Associate to join the Everett, WA team. This role requires outstanding attention to detail and strong client service, with adherence to regulatory standards and confidentiality for client and firm information.

The successful candidate will support financial planning, account administration, and coordination of client communications, while maintaining high integrity across operations.