Client Associate or Registered Client Associate (Wealth Management)

Location: On-site in Newport Beach, California, United States

Base pay: $26.00–$32.00 per hour

Company

Employee-owned financial services organization operating in wealth management for 90 years, with a focus on business ethics, integrity, and client service.

What you will do

• Provide professional customer service and explain requirements in a regulated financial environment.
• Review, maintain, and process account documents and information, and notify the Financial Advisor about meaningful account activity and suspicious activity.
• Assist the Financial Advisor with financial plans, client communications, mailings, and events.
• Facilitate client fund and securities transfers and issue checks upon request.
• Enter stock, bond, sell-stop, option, margin, and mutual fund orders.
• Provide administrative support through phone coverage, correspondence, appointments, filing, and assigned projects.

Requirements

• Successful completion of the SIE, FINRA Series 7, and Series 66 exams, or the ability to obtain the required licenses.
• Significant knowledge of the securities industry, its operations, and products, including stocks, bonds, margin accounts, options, mutual funds, annuities, and insurance products.
• High school graduation.
• Solid technology skills, including Microsoft Word, Excel, and Outlook.
• Excellent written and verbal communication, problem-solving, and client service skills.
• Strong attention to detail and accuracy, including the ability to perform semi-advanced math.
• Ability to manage multiple demands and competing priorities in a deadline-oriented environment.
• Ability to maintain regular, predictable attendance and work overtime as needed.

Nice to have

• Post-secondary education or comparable work experience.
• Experience with Thomson ONE, Envestnet, CRM systems, or Money Guide Pro.

Culture & Benefits

• Medical, dental, and vision coverage.
• Company 401(k) and ESOP contributions.
• Sick leave, vacation, maternity and parental leave, and paid holidays.
• Professional development opportunities and tuition reimbursement with a $15,000 lifetime cap.
• Discounted personal insurance, charitable gift matching, and a company giving program.