Registered Wealth Management Client Associate

Wealth Management Client Associate

Brokerage Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. It is one of the largest businesses of its kind in the world, specializing in goals-based wealth management, including planning for retirement, education, legacy, and other life goals through investment advice and guidance.

Brokerage's Financial Advisors and Wealth Management Client Associates help clients pursue the life they envision through a personal relationship with their advisory team, who are committed to their needs. We believe trust comes from transparency. Our trusted advisory teams are equipped with access to the investment insights of Brokerage, coupled with the banking convenience of a leading financial institution.

At Brokerage, we empower you to bring your whole self to work. We value diversity in our thoughts, business, and within our employees and clients. Our Wealth Management team represents an array of different backgrounds and brings unique perspectives, ideas, and experiences—helping to create a work community that is culture-driven, resilient, results-focused, and effective.

This role is responsible for providing client service support to potentially multiple Financial Advisors (FAs). Key responsibilities include supporting enterprise strategic objectives, operational excellence goals, and client advocacy within the FA's business, while customizing solutions based on their specific needs. This position serves as the primary point of contact within Brokerage to address all service needs of clients.

The Registered Wealth Management Client Associate supports a highly successful team of Financial Advisors by providing both administrative and operational support. This role supports a high-profile, highly successful team that is consistently recognized in Barron's and Forbes top financial advisor listings. The team and company culture are collaborative, performance-oriented, and centered around delivering excellence in the client experience.

Non-Negotiable Requirements:

• Fully licensed with active Series 7 and 66 (or BOTH Series 63 and 65 in lieu of the 66).
• Clean U-4.
• Previous experience as a registered Client Associate supporting Financial Advisors.
• Highly polished with excellent communication and presentation skills.
• Ideally 3–5+ years of experience in a similar role.
• Ready to work as a fulltime employee of 37.5 hours weekly.

Responsibilities:

• Provide excellent client service by educating clients on all service and banking offerings.
• Ensure timeliness, accuracy, and completeness in client materials and follow up on all client and Financial Advisor (FA) requests.
• Align practices with company policies and procedures to support operational excellence, client protection, and risk management.
• Identify, deepen, and maintain client relationships by promoting the company's offerings and incorporating banking solutions into daily practices, while communicating outcomes to the FA.
• Support daily team operations, including covering roles during absences or peak periods, while maintaining a client-first mindset.

Required Qualifications:

• Client Securities Industry Essentials (SIE), Series 7, and 66, or BOTH Series 63 and 65 in lieu of the 66.
• Demonstrated advanced industry knowledge and understanding of investment products.

Desired Qualifications:

• Energetic, self-motivated, coachable, and adaptable.
• Enjoys working in a dynamic, fast-paced environment.
• Detail-oriented and invested in ongoing personal development.
• Committed to delivering an excellent client experience.
• Efficient in meeting client needs and delivering complex solutions.
• Discreet and professional in handling sensitive information.
• Proficient in Microsoft Word, Excel, and PowerPoint.
• Salesforce experience is a plus.
• Strong verbal and written communication skills.

Key Skills:

• Account Management
• Client Management
• Customer and Client Focus
• Issue Management
• Oral Communications
• Business Development
• Client Solutions Advisory
• Pipeline Management
• Prioritization
• Administrative Services
• Emotional Intelligence
• Referral Identification
• Written Communications