Senior Financial Associate

RBC Capital Markets, LLC; Phoenix (AZ); On-site; USD 100,000 - 140,000; Full time

Benefits offered by this job

Bonuses and flexible benefits

Stock options where applicable

Career growth opportunities

Job summary

RBC Wealth Management in Phoenix seeks a Senior Financial Associate to join the FA Team. You will actively grow client assets, conduct portfolio analyses and execute approved transactions with minimal supervision.

You will educate clients, review investment needs, and help promote growth programs while maintaining high standards of regulatory compliance and client service.

Qualifications

• 5+ years industry experience required.
• Series 7, Series 66 (or 63/65) and State licenses as required.
• Strong understanding of stocks, investments and retirement plans.

Responsibilities

• Regularly grow client accounts and assets under management for FA Team.
• Conduct in-depth analyses of client portfolios and execute approved transactions.
• Educate clients by collecting and analyzing financial information and offering suitable products.
• Monitor client investment needs and progress by reviewing transactions and market research.
• Promote growth programs and develop marketing plans for client acquisition.

Skills

Strong analytical skills

Exceptional communication

Microsoft Office proficiency

Education

Bachelor's Degree

Tools

Microsoft Office

Job description

Job Description

What is the opportunity?

As a Senior Financial Associate, you will be a key member of a large producing team and will be actively involved in growing and cultivating the FA Team's business. You will have the ability to function independently on behalf of the FA Team with minimal direction.

At RBC Wealth Management, your career progression matters to us. We offer training, development and learning resources so you continue to grow your career in a way that matters to you.

What will you do?

• Regularly gather new client accounts and build assets under management for FA Team.
• Conduct in-depth analyses of client portfolios. Research recommendations, select suitable investments based on client's investment objectives, tolerance for risk, financial capabilities and investment potential. Promptly execute approved transactions.
• Collect and analyze client's financial information to educate new and existing clients; this may include introducing additional products and services.
• Monitor and evaluate clients' investment needs and progress by reviewing transactions, monthly statements, market research and client contact.
• Promote business growth programs and services, develop detailed marketing plans for client acquisition and identify opportunities to improve sales effectiveness for FA Team.

What do you need to succeed?

Must-have

• 5+ years industry experience
• Series 7, Series 66 (or 63/65) and State licenses consistent with those of the FA(s) this person supports
• Excellent understanding of the stock market, investments and retirement plans
• Working knowledge of fixed income products, equities, mutual funds, insurance and annuities
• In-depth knowledge of regulatory policies and procedures and ability to analyze client portfolios
• Advanced computer skills (including Microsoft Office)

Nice-to-have

• Excellent interpersonal, verbal and written communication skills and able to independently manage multiple demands and competing priorities
• Detail orientated, strong analytical and organizational skills and able to work effectively in a fast-paced, deadline-oriented environment
• Bachelor's Degree
• CFP designation preferred

What's in it for you?

• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
• Leaders who support your development through coaching and managing opportunities
• Ability to make a difference and lasting impact
• Work in a dynamic, collaborative, progressive, and high-performing team
• Flexible work/life balance options
• Opportunities to do challenging work
• Opportunities to take on progressively greater accountabilities
• Access to a variety of job opportunities across business