Registered Client Associate

All Things HR, LLC; Seattle (WA); On-site; USD 90,000 - 110,000; Full time

Benefits offered by this job

Medical, Dental and Vision plans

Health Savings Account (HSA)

Short Term Disability plan (STD)

Long Term Disability plan (LTD)

Employee Assistance Program (EAP)

Flexible Spending Account (FSA)

401k Retirement Plan

Commuter Benefit

Paid Time Off

Paid Holidays

Job summary

The Simmons Group, a Seattle-based financial advisory practice, seeks a Registered Client Associate who thrives in a collaborative team and delivers exceptional client service. The role emphasizes accuracy, organization, and relationship-building in a full-time on-site capacity.

Ideal candidates hold a Bachelor’s or Associate’s degree and possess 2+ years in wealth management, plus SIE, Series 7, and Series 66/63/65 or the ability to obtain them.

Qualifications

• Bachelor’s or associate’s degree required.
• 2+ years of wealth management experience.
• SIE, Series 7, and Series 66 (or 63/65) exams completed or able to obtain.
• Ability to multi-task and prioritize tasks.
• Independent and collaborative work approach with leadership.
• Professional appearance and client-facing demeanor.
• Commitment to accuracy and confidentiality.

Responsibilities

• Serve as a primary point of contact for client service requests.
• Open new accounts and process maintenance, transfers, and money movement requests.
• Prepare and submit account paperwork with complete and accurate documentation.
• Prepare client deliverables and meeting materials as needed.
• Maintain client records and update information in CRM systems.
• Ensure compliance with firm policies and regulations.

Skills

Wealth management experience

Client service mindset

Communication skills

Detail oriented

Education

Bachelor’s or Associate’s degree

SIE Certification

Series 7

Series 66/63/65

Tools

CRM software

Job description

The Simmons Group is a financial advisory practice that works as advocates for high net-worth clients and their families. As a team, we work collaboratively and strive to exceed our clients’ expectations.

The Simmons Group is seeking a Registered Client Associate to join our independent and seasoned financial advisory group. The ideal candidate will be an energetic professional who cares about the quality of their work, enjoys working in collaboration within a team, and offers strong listening and communication skills. To be successful in the Registered Client Associate role, candidates must be detail oriented, organized, and have exceptional customer service skills. This position will work on-site full-time in our Seattle office.

At The Simmons Group, we believe that each of our associate’s interest in personal and professional development is critical to our ongoing and continued success. This opportunity provides excellent potential for career advancement within our team.

Some of the Key Responsibilities of the Registered Client Associate:

• Serve as a primary point of contact for client service requests
• Open new accounts and process account maintenance, transfers, and money movement requests.
• Prepare and submit account paperwork and ensure documentation is complete and accurate
• Prepare client deliverables and meeting materials as needed
• Maintain client records and update information within CRM systems
• Ensure compliance with firm policies and regulations

What the successful Registered Client Associate will have:

• Bachelor’s or associate’s degree
• 2+ years of experience in wealth management
• Successful completion of the (SIE) Securities Industry Essentials and FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 66 [or Series 63/65]) or the ability to obtain
• Ability to multi-task and manage competing demands; proven organizational and prioritizing abilities
• Self-motivated with the ability to work independently and in collaboration with the firm’s leadership, team, and peers
• Dependable, trustworthy, and dedicated
• Maintain a professional appearance, address clients in a friendly, sincere, and professional manner
• Detail oriented and demonstrates a commitment to accuracy, confidentiality, and delivers high quality work consistently

Compensation Range:

• $90,000 to $110,000 annually, DOE

Benefits:

• Medical, Dental and Vision plans
• Health Savings Account (HSA)
• Short Term Disability plan (STD)
• Long Term Disability plan (LTD)
• Employee Assistance Program (EAP)
• Flexible Spending Account (FSA)
• 401k Retirement Plan
• Commuter Benefit
• Paid Time Off
• Paid Holidays

Our companyprovides equal employment opportunity to all individuals regardless of their race, color, creed, religion, gender, age, sexual orientation, national origin, disability, veteran status, or any other characteristic protected by state, federal, or local law.