Registered Client Associate

TL;DR

Registered Client Associate (Securities): Provide professional client service and administrative support in a high-producing financial advisory team with an accent on account management, transaction processing, and regulatory compliance. Focus on executing trades, assisting with financial plans, and handling client communications under tight deadlines.

Everett, WA office (onsite)

$55,000 - $65,000 annually

Company

Independent, employee-owned financial services firm with 90 years of history, focused on integrity, client service, and community impact.

What you will do

• Deliver professional client service, articulating requirements in a regulatory environment.
• Review, maintain, and process account documents and transactions, flagging suspicious activity.
• Assist financial advisors with comprehensive financial plans, client communications, and events.
• Facilitate fund/securities transfers, check issuance, and enter buy/sell orders for stocks, bonds, options, and mutual funds.
• Provide administrative support including phone, correspondence, appointments, and filing.

Requirements

• Successful completion of SIE, Series 7, and Series 66 (or 63/65) exams or ability to obtain licensing.
• At least 2 years experience as Registered Client Associate.
• Significant knowledge of securities industry products including stocks, bonds, margin, options, mutual funds, annuities.
• Post-secondary education preferred; solid Microsoft Word, Excel, Outlook skills (Thomson ONE, Envestnet, CRM, Money Guide Pro a plus).
• Excellent communication, problem-solving, client service; strong attention to detail and math skills.
• Ability to manage multiple priorities in deadline-oriented environment and work overtime as needed.

Culture & Benefits

• Competitive salary with medical, dental, vision coverage.
• 401(k) and ESOP contributions; generous sick, vacation, maternity/parental leave; paid holidays.
• Professional development, tuition reimbursement ($15,000 lifetime cap), discounted personal insurance.
• Charitable gift-matching and Davidson Day of Giving for community impact.
• Friendly, open culture emphasizing integrity, candid communication, and employee ownership.