Role Description
The Registered Client Associate is a forward facing member of the team with a
mission to help clients achieve their financial goals by competitively delivering the highest
quality service. This role is an integral part of the client/financial professional relationship as well
as a valuable partner in the success of the branch. This position exemplifies the team's
core values of Integrity, Service is Persona l, One Team , Communication and Initiative by
communicating with clients, providing a personalized experience, and problem solving. By
facilitating these interactions and being an active, collaborative and engaged employee, this role
provides room for growth and advancement opportunities.
This full-time role reports to the Branch Manager with additional feedback gathered from the
assigned Financial Professionals (FPs). Working hours are Monday - Friday 8:30 AM to 5:00
PM EST. This role is located in our Boston headquarters and is eligible for a hybrid schedule: at
least 3 days in office and up to 2 days remote.
Role Responsibilities
Client/Financial Professional Team Duties (70%)
- Directly communicate with clients to service their account requests or concerns via
- phone, email, or other mediums
- Plan and arrange client meetings
- Document and execute money moves - deposits, ACH, wires, withdrawals, rollovers, etc.
- Complete data entry for MoneyguidePro plans and assist with Riskalyze questionnaire
- completion
- Assist with new account openings and maintain contact with new clients to verify
- account information, beneficiary designation, address changes, etc.
- Assist with new financial professional transition when assigned
- Service advisory accounts, as applicable
- Maintain working relationships with other business functions to ensure seamless
- business practices and troubleshoot problems when they arise
- Compliance, Operations, IT, Strategic Initiatives, Training Center, etc.
- Research client portfolios as assigned and as experience is gained remain
- knowledgeable about financial markets
- Determining client needs through service to initiate opportunities for Financial
- Professionals
- Perform research for client portfolios, as assigned
- As experience progresses, maintain open communication with assigned FPs to discuss
- financial opportunities and client financial plans
- Collaborate with Marketing to assist with financial professional marketing strategies and
- initiatives
- Contribute to Client Associate RingCentral chat to share knowledge with others
- Assist with other branch coverage when needed
- Adhere to and keep up to date on Compliance and firm policies and participate in firm
- sponsored trainings
- Ensure and maintain good standing with all FINRA/SEC rules and regulations including
- licensure and continuing education requirements, if applicable
Office Administrative (20%)
- Maintain and organize client files, CRM Redtail notes, and documentation
- Utilize DocuSign and DocuPace for form signature, distribution, and documentation
- Provide administrative support to assigned Financial Professional(s) and Branch
- Manager as needed
- Other duties as assigned
Other (10%)
- Take initiative in career growth by enrolling in Google Classroom courses and provided
- development opportunities
- Compile monthly reports for assigned client/financial professional teams
- Submit monthly expense reports to provide accurate P&L data
- Be an active culture carrier within teams and contribute to a positive team morale
Key Measurements
- Ability to integrate into Financial Professional(s)’ business and build rapport with clients
- Accomplishment of annual organizational, team and personal goals as communicated by
- management
- Revenue growth for the Financial Professional(s)’ business as well as overall growth for
- the firm
- Activity volume measured from communications, workflow items, adoption of new tools
- and professional development courses
Minimum Requirements
- 3-7 years of relevant experience
- Associate Degree in Business, Finance, or related field
- SIE licensed
- Series 7 and 66 (63/65) licensed or able to attain within first 3-6 months of employment
- Confident in using Microsoft Office Suite and Google Suite
- Competent using Concur, RBC, AOS, RedOak, RedTail
- Comfortable taking initiative and being part of a team
Competent in the following Knowledge, Skills, and Abilities:
- Customer Service
- Math
- Clerical Work
- Reading, Writing, and Oral
- Expression
- Active Listening
- Critical Thinking
- Social Perceptiveness
- Coordination
- Deductive and Inductive
- Reasoning
- Empathy
- Selective Attention
- Time Sharing
- Memorization
- Initiative
- Persuasion
- Negotiation
- Time Management
Preferred Requirements
- Bachelor’s Degree in Business, Finance, or related field
Compensation and Benefits
The expected base salary for the role at the time of posting will be between $55,000 and $85,000
per year at the commencement of employment. However, base salary, if hired, will be determined on
an individualized basis and is dependent on experience, skills, registration status, market conditions,
location and business needs. Base salary is only part of the total compensation package, which may
also include variable compensation in the form of commission earnings, incentive compensation,
discretionary bonuses, and other company sponsored benefit programs.
Total Rewards Benefits Package:
- Short Term Disability, Long Term Disability, Life Insurance, and optional Supplemental
- Life insurance for employee, spouse, and dependents
- Medical, Dental & Vision
- 401k plans with yearly match
- Flexible spending accounts
- Identity Theft Protection insurance
- Critical Illness and Accident insurance plans
- PTO: vacation, personal days, sick time, and volunteerism day to encourage community involvement