Wealth Management Client Associate | Growth & Licensing Path

Association Of African American Financial Advisors; Westport (CT); On-site; USD 45,000 - 90,000; Full time

Benefits offered by this job

401(k) with company-matching

Health, dental, vision, life and short

Paid time-off

Job summary

RBC Wealth Management’s Westport, CT branch is seeking a Client Associate/Registered Client Associate to support financial advisors and clients, onboarding new accounts, processing trades, and maintaining records.

The role requires a Bachelor’s degree or related experience, strong communication, attention to detail, and compliance with standards. Licenses (Series 7/66 or 63/65) or willingness to obtain within 12 months are required, with FINRA registrations a plus.

Qualifications

• Bachelor’s degree or job-related experience.
• Strong soft skills including verbal and written communication, people, organizational, and client service skills.
• Attention to detail coupled with the mindset of how you can make advisors more efficient and effective.
• Series 7 and 66 (or 63/65) licenses or the willingness to get licensed within 12 months of hire.
• Ability to adapt to a rapidly changing business and technology environment.
• Current FINRA registrations
• Financial services experience

Responsibilities

• Build and maintain professional relationships with clients by assisting them and answering account questions.
• Take initiative to handle account inquiries and customer needs and elevate to financial advisors when appropriate.
• Adhere to compliance standards by obtaining and maintaining appropriate account documentation and communicate with clients about items needed.
• Facilitate the transfer of funds and securities, complete trades in client accounts, and process checks, wires and ACH’s in a timely manner.
• Maintain confidentiality in accordance with RBC’s Code of Conduct.

Skills

Customer Service

Data Entry

Verbal and written communication

Organizational skills

Client service

Team collaboration

Education

Bachelor’s degree or job-related experience

Tools

Word Processing Software

Job description

RBC Wealth Management’s Westport, CT branch is seeking a Client Associate/Registered Client Associate to support financial advisors and clients, onboarding new accounts, processing trades, and maintaining records.

The role requires a Bachelor’s degree or related experience, strong communication, attention to detail, and compliance with standards. Licenses (Series 7/66 or 63/65) or willingness to obtain within 12 months are required, with FINRA registrations a plus.