Registered Wealth Management Client Associate

Jobtailor; Greenwich (CT); On-site; USD 55,000 - 85,000; Full time

Job summary

Merrill in Greenwich, CT seeks a client service associate to support Financial Advisors, educate clients on offerings, and ensure timely, accurate client materials.

You will customize solutions, manage risk, and deepen relationships while leveraging Salesforce and Microsoft Office in a fast-paced environment.

This role requires SIE, Series 7, and Series 66 (63/65 allowed) and a client-centric mindset with strong communication.

Qualifications

• Must currently hold FINRA SIE, Series 7, and Series 66; Series 63/65 accepted in lieu.
• Advanced knowledge of investment products and industry practices.
• Client-centric approach with a strong work ethic and results focus.
• Ability to learn and adapt to new information and technology platforms.
• Experience delivering high-quality client service in a fast-paced environment.

Responsibilities

• Provide client service support to potentially multiple Financial Advisors
• Support enterprise strategic objectives, operational excellence goals, and client advocacy
• Customize solutions based on client and advisor needs
• Educate clients on service and banking offerings
• Ensure timeliness, accuracy, and completeness of client materials
• Follow up on client and advisor requests
• Help align practices with bank policies and procedures
• Protect client information and manage risk
• Identify, deepen, and maintain client relationships
• Promote banking integration into clients’ day-to-day activities and communicate outputs to the Financial Advisor
• Support day-to-day team activities, including coverage during absences or seasonal demand

Skills

FINRA SIE

Series 7

Series 66

Client Relationship Management

Microsoft Office Suite

Education

FINRA Certifications (SIE, Series 7, Series 66) or Series 63/65 alternative

Tools

Salesforce

Microsoft Word

Microsoft Excel

Microsoft PowerPoint

Job description

• Provide client service support to potentially multiple Financial Advisors
• Support enterprise strategic objectives, operational excellence goals, and client advocacy within the Financial Advisor’s business
• Customize solutions based on specific client and advisor needs
• Serve as the frequent point of contact within Merrill for client service needs
• Educate bank clients on service and banking offerings
• Ensure timeliness, accuracy, and completeness of client materials
• Follow up on client and Financial Advisor requests
• Help align practices with bank policies and procedures
• Protect bank clients and manage risk
• Identify, deepen, and maintain client relationships
• Promote incorporation of banking into clients’ day-to-day practices and communicate outputs to the Financial Advisor
• Support day-to-day team activities, including covering roles during absences or seasonal demand increases

Requirements

• Currently holds FINRA Securities Industry Essentials (SIE), Series 7, and Series 66; Series 63 and 65 accepted in lieu of Series 66
• If licenses are not currently held, they must be obtained within a specified timeframe if hired into a registered job code
• Advanced industry knowledge and understanding of investment products
• Enthusiastic, highly motivated self-starter with a strong work ethic and focus on results
• Client-centric mindset and commitment to acting in the client’s best interest
• Ability to learn and adapt to new information and technology platforms
• Experience working with clients, fulfilling needs, delivering complex solutions, and providing an excellent client experience
• Comfortable operating in a fast-paced environment with changing responsibilities
• Detail oriented
• Commitment to continuous learning and professional growth
• Sound judgment and discretion when handling sensitive information
• Strong computer application skills, including Microsoft Word, Excel, PowerPoint, and Salesforce
• Professional verbal and written communication skills

Core Competencies

Demonstrates advanced industry knowledge of investment products and a client-centric mindset, ensuring timely and accurate client service while adhering to bank policies. Proficient in managing client relationships and delivering customized solutions in a fast-paced environment.

Highest-signal resume keywords

• FINRA Securities Industry Essentials (SIE)
• Series 7
• Series 66
• Client Relationship Management
• Microsoft Office Suite

Hard Skills

• Investment Product Knowledge
• Client Service Support
• Solution Customization
• Risk Management
• Detail Orientation

Soft Skills

• Client-Centric Mindset
• Strong Work Ethic
• Adaptability
• Professional Communication
• Enthusiasm

Certifications & Qualifications

• FINRA Securities Industry Essentials (SIE)
• Series 7
• Series 66
• Series 63
• Series 65

Industry Keywords

• Client Advocacy
• Operational Excellence
• Banking Practices
• Financial Advisory
• Continuous Learning

Tools & Technologies

• Salesforce
• Microsoft Word
• Microsoft Excel
• Microsoft PowerPoint