Registered Client Relationship Analyst

About the Role

Registered Client Relationship Analysts provide exceptional service to clients and support Financial Advisor(s) (FAs)/ Private Wealth Advisor(s) (PWAs)/ teams daily. This role involves building trusted relationships through regular client interactions, acting with a client-first mindset, and assisting clients with their everyday needs.

Key Responsibilities

• Client Support
• Provide service coverage for an FA/PWA/team.
• Support the FA/PWA/team in cultivating and enhancing new and existing client relationships.
• Execute money movement transactions at the request of the client and/or FA/PWA/team.
• Answer general, non-investment related questions concerning client accounts, including relaying stock positions and providing account balances.
• Enter profile information or pre-fill account documentation on client accounts/documents in a clerical capacity at the direction of the client and/or FA/PWA/team.
• Educate or enroll clients in digital tools (e.g., MS Online, eSign, eAuthorization).
• Onboard and maintain client accounts, including collecting client information and required documentation in a clerical capacity at the direction of the client and/or FA/PWA/team.
• Provide existing clients with details around their account information (e.g., investment objectives, risk tolerance).
• Accept or enter unsolicited orders and/or enter solicited orders in a clerical capacity at the direction of the FA/PWA/team.
• Assist Financial Advisor(s)/team in delivering against their business plan and client service model.
• Support the Financial Advisor/team marketing strategy (e.g., website maintenance).
• Assist FAs/PWAs/teams in a clerical capacity with research relating to investment portfolio holdings, performance reporting, etc., and preparing materials for client meetings using firm-approved systems.
• Assist with data entry for key client needs such as new account opening and financial planning at the direction of the FAs/PWAs/teams.
• Remain current on all policies, procedures, and new platforms.
• Participate in firm initiatives (e.g., training or education programs), special projects, and/or other duties directed by local management.
• Administrative Support
• Answer inbound phone calls or make outbound calls with updates on service requests (e.g., scheduling follow-up calls with Financial Advisor/teams as needed).
• Manage calendars, including coordinating meetings or events with logistics such as material prep (e.g., maintaining agendas, sending calendar invites with Zoom credentials).
• Maintain travel itineraries, prepare expense reports, and manage the reimbursement process.
• Assist with general in-office support functions such as copying, filing, and scanning documentation.
• Prepare and submit expense reports for processing at the direction of the FA/PWA.

Requirements & Tech Stack

• Education and/or Experience
• High School Diploma/Equivalency
• College degree preferred
• Active Series 7 (GS), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA)
• Two or more years of industry experience preferred
• Knowledge/Skills
• Knowledge of financial services products, including but not limited to equities, bonds, options, mutual funds, annuities, insurance, and managed accounts.
• Detail-oriented with superior organizational skills and ability to prioritize.
• Advanced Microsoft Office skills (Word, Excel, Outlook, and PowerPoint).
• Exceptional writing, interpersonal, and client service skills.
• Strong time management skills.
• Team player with the ability to collaborate with others.
• Ability to work in a fast-paced, evolving environment.
• Adaptable and ability to multitask.
• Goal-oriented, self-motivated, and results-driven.