Registered Client Associate (Wealth Management)

TL;DR

Registered Client Associate (Wealth Management): Supporting financial advisors and clients through account administration, securities transactions, financial planning assistance, and regulatory processes with an accent on client service, accuracy, and confidentiality. Focus on processing complex investment orders, monitoring account activity, coordinating fund and securities transfers, and managing competing priorities in a deadline-oriented environment.

Location: On-site in Lake Oswego, Oregon, United States

Company

Employee-owned financial services firm with 90 years of experience and a focus on business ethics, integrity, and client service.

What you will do

• Provide professional client service and communicate regulatory requirements clearly.
• Review, maintain, and process client account documents and information while reporting meaningful or suspicious activity.
• Enter stock, bond, options, margin, mutual fund, and stop-order transactions.
• Assist financial advisors with comprehensive financial plans, client communications, mailings, and events.
• Facilitate transfers of client funds and securities and issue checks upon request.
• Provide administrative support covering calls, correspondence, appointments, filing, and assigned projects.

Requirements

• At least two years of previous experience as a Registered Client Associate.
• Successful completion of the SIE, Series 7, and Series 66 exams, or the ability to obtain the required licenses.
• Significant knowledge of stocks, bonds, margin accounts, options, mutual funds, annuities, and insurance products.
• Strong client service, written and verbal communication, problem-solving, attention to detail, and accuracy skills.
• Solid Microsoft Word, Excel, and Outlook skills; ability to perform semi-advanced math.
• Ability to manage competing priorities, maintain regular attendance, and work overtime when needed.

Nice to have

• Post-secondary education.
• Experience with Thomson ONE, Envestnet, CRM systems, or MoneyGuidePro.

Culture & Benefits

• Medical, dental, and vision coverage.
• Company 401(k) and ESOP contributions.
• Paid sick, vacation, maternity, parental, and holiday leave.
• Professional development opportunities and tuition reimbursement up to a $15,000 lifetime cap.
• Discounted personal insurance and a charitable gift-matching program.
• Employee-focused culture with opportunities to support local communities.