Private Wealth Management Registered Client

About the Role

Registered Client Relationship Analysts provide exceptional service to clients and support Financial Advisors (FAs)/Private Wealth Advisors (PWAs)/teams on a daily basis. Through regular interactions with clients, individuals in this role build trusted relationships. A successful candidate will have strong interpersonal skills and assist clients with their everyday needs.

Key Responsibilities

• Client Support
• Provide service coverage for an FA/PWA/team, including supporting them in cultivating and enhancing new and existing client relationships.
• Execute money movement transactions.
• 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.
• Educate or enroll clients in digital tools (e.g., MSOnline, eSign, eAuthorization).
• Onboard and maintain client accounts, including collecting client information and required documentation.
• 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.
• Assist FAs/teams in delivering against their business plan and client service model.
• Support the FA/team marketing strategy (e.g., website maintenance).
• Assist FAs/PWAs/teams with research relating to investment portfolio holdings, performance reporting, and preparing materials for client meetings.
• Assist with data entry for key client needs such as new account opening and financial planning.
• 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.
• Administrative Support
• Answer inbound phone calls or make outbound calls with updates on service requests.
• Manage calendars, including coordinating meetings or events with logistics such as material prep.
• 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.

Requirements & Tech Stack

• Series 7 (GS)
• Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA)
• Microsoft Office Suite (Word, Excel, Outlook, PowerPoint)
• Firm approved systems for preparing client meeting materials.

Qualifications

• High School Diploma/Equivalency
• College degree preferred
• Two or more years of industry experience preferred
• 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.
• 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 able to multitask.
• Goal-oriented, self-motivated, and results-driven.