Registered Wealth Management Client Associate

Jobtailor; Maine; On-site; USD 55,000 - 75,000; Full time

Job summary

Jobtailor in Maine is seeking a client service professional to support Financial Advisors. You will act as the Merrill point of contact for service needs, educate clients on bank offerings, and ensure timely, accurate client materials.

The role requires FINRA SIE, Series 7, and Series 66 (or 63/65). You will manage relationships, customize solutions, and support the advisor team in a fast-paced environment while upholding risk controls and policy compliance.

Qualifications

• Advanced industry knowledge and understanding of investment products.
• Client-centric mindset with a strong work ethic and results focus.
• Strong communication skills, both verbal and written.

Responsibilities

• Provide client service support to multiple Financial Advisors.
• Educate clients on the bank's service offerings.
• Ensure timeliness, accuracy, and completeness of client materials.
• Follow up on client and Financial Advisor requests.
• Identify and deepen client relationships.
• Support day-to-day team activities during absences or seasonal demand.

Skills

Investment products

Client service

Relationship management

Microsoft Office

Detail orientation

Adaptability

Professional communication

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 advisory-team needs
Serve as the most frequent Merrill point of contact for clients' service needs
Educate clients on the bank's service and banking offerings
Ensure timeliness, accuracy, and completeness of client materials
Follow up on client and Financial Advisor requests
Help ensure practices align with bank policies and procedures
Protect 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 strong work ethic and intense focus on results
• Client-centric mindset, acting in the best interest of the client
• 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 and evolving 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 support 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 Products Knowledge
• Client Service Support
• Solution Customization
• Risk Management
• Detail Orientation

Soft Skills

• Client-Centric Mindset
• Strong Work Ethic
• Adaptability
• Professional Communication
• Judgment and Discretion

Certifications & Qualifications

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

Industry Keywords

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

Tools & Technologies

• Salesforce
• Microsoft Word
• Microsoft Excel
• Microsoft PowerPoint