Registered Client Associate

Bethesda, Maryland
Salary range $45-$55K with full benefits
April 25 2019
RCA - Bethesda

Registered Client Associate

Position Description

The Registered Client Associate (FINRA 7 and 63) contributes to increased generation of commission and fee revenue by maintaining and enhancing client relationships while assisting Financial Advisors with efficient, quality client service.  Works under general supervision, uses specialized knowledge and skills obtained through experience and/or formal training to provide pro-active support to Financial Advisors. Extensive contact with internal and external customers to identify, research, and resolve problems utilizing established procedures and prescribed guidelines.



  • Interacts daily on the phone and in person with prospective and existing clients including handling basic inquiries and providing quotes
  • Processes and follows up on client documentation for proper maintenance of accounts
  • Receives unsolicited orders from clients
  • May enter unsolicited trades at the direction of the Financial Advisor
  • Researches client and security information through the back-office system
  • Ensures required client paperwork is current with firm and industry requirements, rules and regulations
  • Participates in and receives cross-training, as well as assists with other operational functions as required
  • Opens new accounts for clients, populating appropriate data, and linking accounts
  • Facilitates and oversees all pre-underwriting and underwriting client requirements and tasks concerning life insurance
  • Handles all marketing materials, such as Client Welcome packages, letters, forms, and spreadsheets to assist with servicing existing clients and prospecting for new clients
  • Assist clients with investment applications, ensuring each application is completed
  • Follow up on client documentation for proper maintenance of accounts
  • Processes client fund requests prior to cut off dates
  • Promptly responds to all client correspondence
  • Schedules client calls and in-person meetings to discuss accounts in detail
  • Monitor trade alerts and work basket items

*This list is not all-inclusive of job responsibilities

Preferred Skills/Experience:

  • Active FINRA 7 and 63 and 65 or Series 7 and 66 registrations required
  • Ability to obtain Life & Health insurance license within 90 days from hire date
  • College degree with a concentration in business or equivalent work experience
  • 3 or more years of industry experience
  • Working knowledge of Office 365 (Word, Excel)
  • Ability to work within multiple CRM databases and maintain proper client records
  • Excellent verbal and written communication skills
  • Excellent organizational skills, including planning, prioritizing and overseeing concurrent projects
  • Team player with the ability to collaborate with others 
  • Ability to multitask in a fast-paced, highly confidential environment

Reports to: New Business Operations Supervisor

Status: Non-Exempt

Salary range $45-$55K with full benefits