{"schemaVersion":"jobsearcher.job.v1","id":"a1a30deaad39d2dbfb057779","url":"https://jobsearcher.com/jobs/a1a30deaad39d2dbfb057779","canonicalUrl":"https://jobsearcher.com/jobs/a1a30deaad39d2dbfb057779","title":"Registered Client Associate","description":"Position Summary:\r\nThe Client Assistant will provide administrative and operational support to Financial Advisor(s) and clients within the Broker-Dealer or Registered Investment Advisor (RIA). This role involves working directly with clients and assisting with the execution of financial transactions, preparation of investment proposals, account management, and maintaining compliance with industry regulations.\r\nPrimary Job Responsibilities:\r\nServe as a liaison between client and FA to manage and service new and existing relationships\r\nProvide support during the sales process by coordinating paperwork, conducting research, and helping with the on-boarding of new clients\r\nManage and track sales leads and opportunities and ensure timely follow-up\r\nMaintain and update client records, ensuring accuracy and compliance with regulatory requirements\r\nPrepare client account opening forms, transaction forms, and other required documentation\r\nRespond to client inquiries, address issues and provide updates on their investment portfolios\r\nAssist with the processing of client transactions (trades, transfers, withdrawals, etc.)\r\nCoordinate account transfers and new account openings\r\nAnswer inbound phone calls and make outbound calls with updates on service requests\r\nRemain current on all policies, procedures and platforms\r\nParticipate in firm initiatives (training, continuing education, etc.), complete special projects and/or other duties directed by management\r\nQualifications:\r\nHigh School Diploma\r\nCollege degree preferred\r\nActive Series 7 and Series 66 (Or Series 63 and Series 65)\r\n2 or more years of previous industry experience\r\nExcellent analytic, presentation, evaluation, and critical thinking skills.\r\nProficient with Microsoft Office Suite\r\nExperience with SmartStation, Envestnet, DocuWare, Box, Quest CE, etc.\r\nPersonal Qualities:\r\nKnowledge of financial services products, including but not limited to equities, bonds, options, mutual funds, annuities, insurance and managed accounts\r\nCapable of working well both independently and as a member of a team\r\nStrong time management skills\r\nStrategic-thinker, analytical, problem solver\r\nSuperior organizational skills\r\nExcellent verbal, written and interpersonal communication skills.\r\nMeticulous and great attention to detail and accuracy\r\nUnquestionable integrity and ethical character","company":"Action Placements","rawCompany":"action placements","city":"Halethorpe","state":"MD","isRemote":false,"isActive":false,"createdAt":"2026-04-09T07:59:46.566Z","occupations":[{"code":"41-3031.00","title":"Securities, Commodities, and Financial Services Sales Agents","slug":"securities-commodities-and-financial-services-sales-agents"},{"code":"43-4011.00","title":"Brokerage Clerks","slug":"brokerage-clerks"},{"code":"13-2052.00","title":"Personal Financial Advisors","slug":"personal-financial-advisors"}],"industries":[{"code":"523940","title":"Portfolio Management and Investment Advice","slug":"portfolio-management-and-investment-advice"},{"code":"523999","title":"Miscellaneous Financial Investment Activities","slug":"miscellaneous-financial-investment-activities"},{"code":"523150","title":"Investment Banking and Securities Intermediation","slug":"investment-banking-and-securities-intermediation"}],"jobPosting":{"@context":"https://schema.org","@type":"JobPosting","title":"Registered Client Associate","description":"Position Summary:\r\nThe Client Assistant will provide administrative and operational support to Financial Advisor(s) and clients within the Broker-Dealer or Registered Investment Advisor (RIA). This role involves working directly with clients and assisting with the execution of financial transactions, preparation of investment proposals, account management, and maintaining compliance with industry regulations.\r\nPrimary Job Responsibilities:\r\nServe as a liaison between client and FA to manage and service new and existing relationships\r\nProvide support during the sales process by coordinating paperwork, conducting research, and helping with the on-boarding of new clients\r\nManage and track sales leads and opportunities and ensure timely follow-up\r\nMaintain and update client records, ensuring accuracy and compliance with regulatory requirements\r\nPrepare client account opening forms, transaction forms, and other required documentation\r\nRespond to client inquiries, address issues and provide updates on their investment portfolios\r\nAssist with the processing of client transactions (trades, transfers, withdrawals, etc.)\r\nCoordinate account transfers and new account openings\r\nAnswer inbound phone calls and make outbound calls with updates on service requests\r\nRemain current on all policies, procedures and platforms\r\nParticipate in firm initiatives (training, continuing education, etc.), complete special projects and/or other duties directed by management\r\nQualifications:\r\nHigh School Diploma\r\nCollege degree preferred\r\nActive Series 7 and Series 66 (Or Series 63 and Series 65)\r\n2 or more years of previous industry experience\r\nExcellent analytic, presentation, evaluation, and critical thinking skills.\r\nProficient with Microsoft Office Suite\r\nExperience with SmartStation, Envestnet, DocuWare, Box, Quest CE, etc.\r\nPersonal Qualities:\r\nKnowledge of financial services products, including but not limited to equities, bonds, options, mutual funds, annuities, insurance and managed accounts\r\nCapable of working well both independently and as a member of a team\r\nStrong time management skills\r\nStrategic-thinker, analytical, problem solver\r\nSuperior organizational skills\r\nExcellent verbal, written and interpersonal communication skills.\r\nMeticulous and great attention to detail and accuracy\r\nUnquestionable integrity and ethical character","datePosted":"2026-04-09T07:59:46.566Z","dateModified":"2026-04-09T07:59:46.566Z","hiringOrganization":{"@type":"Organization","name":"Action Placements","sameAs":"https://jobsearcher.com"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Halethorpe","addressRegion":"MD","addressCountry":"US"}},"identifier":{"@type":"PropertyValue","name":"JobSearcher","value":"a1a30deaad39d2dbfb057779"},"url":"https://jobsearcher.com/jobs/a1a30deaad39d2dbfb057779"}}