Registered Wealth Management Associate

TalentWealth; Memphis (TN); On-site; USD 60,000 - 95,000; Full time

Job summary

TalentWealth Recruiting partners with premier wealth management firms to connect professionals with opportunities. The client, an established independent wealth management firm in Memphis, TN, seeks an experienced Registered Wealth Management Associate to join the team.

The role provides proactive operational, administrative, and client service support to Financial Advisors, owning recurring workflows and client account administration while delivering white-glove service.

Qualifications

• Bachelor's degree or equivalent wealth management experience.
• FINRA Series 7 required.
• Series 63, 65, or 66 required (or ability to obtain).
• Strong knowledge of wealth management operations and client service.
• Experience with account opening, maintenance, and investment operations.
• Strong organizational and time management skills.
• Excellent written and verbal communication abilities.

Responsibilities

• Provide proactive client service and relationship management to Financial Advisors and clients.
• Open new accounts and process documentation; maintain electronic records.
• Process trading orders, wires, and investment operations; monitor reports.
• Assist with annual reviews, RMDs, and tax reporting support.
• Ensure compliance with FINRA, SEC, and firm policies; support process improvements.

Skills

Client Service

Relationship Management

Operations

Trading

CRM

Microsoft Office

Education

Bachelor's degree or equivalent

FINRA Series 7

Series 63/65/66

Tools

CRM software

Custodial systems

Job description

At TalentWealth Recruiting, we partner with premier independent wealth management firms across the country to connect exceptional professionals with outstanding career opportunities.

Our client, an established and highly respected independent wealth management firm located in Memphis, TN is seeking an experienced Registered Wealth Management Associate to join their growing team.

Registered Wealth Management Associate

Under general supervision, the Registered Wealth Management Associate provides proactive operational, administrative, and client service support to Financial Advisors while helping deliver an exceptional client experience. This role combines traditional registered client service responsibilities with ownership of recurring operational workflows, client account administration, and office support functions. The ideal candidate is highly organized, detail-oriented, able to prioritize multiple responsibilities, and committed to providing white-glove service to clients.

Essential Duties and Responsibilities:

1. Client Service & Relationship Management:

• Interact daily with prospective and existing clients by phone, email, and in person, providing exceptional service and responding to client inquiries.
• Serve as a primary point of contact for client service requests.
• Schedule and coordinate client meetings and follow-up activities.
• Prepare meeting materials and assist advisors with client review meetings.
• Monitor advisor calendars and communications as needed to ensure timely client responses.
• Process meeting follow-up items and ensure client requests are completed promptly.
• Maintain CRM records, client notes, and electronic files to ensure complete and accurate documentation.

2. Account Administration:

• Open new accounts and process all required account documentation.
• Process account maintenance requests including updates, transfers, beneficiary changes, and other client service requests.
• Process deceased account administration.
• Research client and security information through custodial and back-office systems.
• Ensure client paperwork remains current and compliant with firm and regulatory requirements.
• Maintain electronic records and client files.

3. Trading & Investment Operations:

• Solicit and receive trade orders from Financial Advisors.
• Enter unsolicited trades as directed by Financial Advisors.
• Process wires and money movement requests.
• Process certificates of deposit (CDs) and fixed income transactions.
• Process Mutual Fund PIPs and SWPs.
• Monitor Practice Center notifications and outstanding operational alerts.
• Review and maintain allocation and trading worksheets.
• Assist with investment reporting including:

• Cash reports
• Fee reports
• Fixed income maturity reports
• Quarterly heatmap reports
• Quarterly investment review materials

4. Ongoing Client Maintenance:

• Monitor daily action items and prior-day activity.
• Complete recurring account reviews including 180-Day Checklists.
• Assist with Required Minimum Distribution (RMD) processing and beneficiary RMD calculations.
• Assist with annual 401(k) reviews and participant updates.
• Prepare capital gain communications and year-end tax reporting support.
• Coordinate annual 1099 distribution communications.
• Maintain master client contact records.

5. Compliance & Administrative Responsibilities:

• Create reports using portfolio management and CRM software.
• Maintain compliance with FINRA, SEC, and firm policies.
• Participate in cross-training initiatives and process improvement efforts.
• Perform additional duties as assigned.

Qualifications:

• Bachelor's degree preferred OR Equivalent combination of education and wealth management experience.
• FINRA Series 7 required.
• Series 63, 65, or 66 required (or ability to obtain if permitted by the firm).
• Strong knowledge of wealth management operations and client service.
• Understanding of securities industry regulations and financial products.
• Experience with account opening, account maintenance, and investment operations.
• Strong organizational and time management skills.
• Excellent written and verbal communication abilities.
• Ability to prioritize multiple deadlines in a fast-paced environment.
• High attention to detail with strong follow-through.
• Strong proficiency in Microsoft Office and CRM/portfolio management systems.
• Ability to work independently while collaborating effectively with advisors and team members.
• Commitment to providing an exceptional client experience.