Registered Client Associate

TL;DR

Registered Client Associate (Wealth Management): Providing operational and administrative support to financial advisor teams with an accent on regulatory compliance, client satisfaction, and account processing. Focus on managing securities transactions, assisting in financial planning, and ensuring high-integrity documentation.

Location: On-site in Pasadena, CA

Salary: $30.00 - $32.00 per hour

Company

An employee-owned wealth management firm with a 90-year history of business ethics and integrity.

What you will do

• Provide professional customer service and ensure client satisfaction within a regulatory environment.
• Process account documents and notify Financial Advisors of meaningful activities or suspicious transactions.
• Execute buy/sell trades for stocks, bonds, options, and mutual funds.
• Support Financial Advisors in developing comprehensive financial plans and implementing client communications.
• Facilitate fund transfers, securities transfers, and check issuance.
• Handle general administrative tasks including scheduling, filing, and correspondence.

Requirements

• Must be based in Pasadena, CA (On-site)
• Successful completion of SIE, Series 7, and Series 66 (or 63/65) exams, or ability to obtain licensing.
• Minimum of two years experience as a Registered Client Associate.
• Significant knowledge of securities industry products including stocks, bonds, options, and mutual funds.
• Proficiency in Microsoft Word, Excel, and Outlook.

Nice to have

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

Culture & Benefits

• Medical, Dental, and Vision insurance.
• Company 401(k) and ESOP contributions.
• Generous sick, vacation, and maternity/parental leave.
• Tuition reimbursement up to $15,000 lifetime cap.
• Professional development opportunities and charitable gift-matching programs.