Registered Financial Client Associate

Benjamin F. Edwards

. Provide exceptional service and support to a Financial Advisor or team of Advisors and clients .

Posted 10/14/2026full-timeWheaton • Illinois • United StatesJuniorMid-Level💰 $25 - $32 per hourWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in client service within the financial services sector, including proficiency in managing client inquiries, preparing reports, and maintaining compliance with regulatory guidelines. Possesses strong organizational and communication skills to effectively support Financial Advisors and clients.

Highest-signal resume keywords

Client Service ExperienceSeries 7 LicenseSeries 63/65 or Series 66 LicenseMicrosoft Office Suite ProficiencyProblem Analysis and Solution Establishment

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Client Order ManagementReport PreparationAccount Opening AssistanceDocument OrganizationError Identification and CorrectionRegulatory ComplianceClient Meeting SupportFile MaintenanceProspecting AssistanceAdministrative Support

Soft Skills

Interpersonal SkillsCommunication SkillsJudgmentInitiativeTeam Collaboration

Certifications & Qualifications

Bachelor's DegreeSeries 7 LicenseSeries 63/65 or Series 66 License

Industry Keywords

Financial ServicesClient SupportRegulatory GuidelinesBranch OperationsConfidential Information Handling

About the role

Key responsibilities & impact

Provide exceptional service and support to a Financial Advisor or team of Advisors and clients
Provide client service for check requests, deposits, wiring funds, record-keeping, and adjustments
Assist with preparing reports and materials for client meetings
Participate in live meetings with Financial Advisors and clients
Provide quotes and account-related information
Accept and enter client orders and orders on behalf of Financial Advisors
Assist with opening new accounts and sending required account and transaction documents
Handle client inquiries and schedule appointments by phone and in person
Keep client information and documentation current according to firm and industry requirements
Research and resolve account problems and missing documents
Identify errors and initiate corrective measures
Create, prepare, and review daily client reports
Liaise between the Branch and Home Office on projects and issues
Assist Financial Advisors with prospecting through mailings and seminars
Maintain files according to firm and regulatory guidelines
Scan and organize documents, schedule meetings and calendar events, execute daily tasks, prepare correspondence, and assist with mailing and client requests
Mentor and support other team members and assist with training
Perform administrative duties requested by Financial Advisors or the Branch Manager
Provide backup support to other branch support personnel
Perform other related duties as assigned

Requirements

What you’ll need

Bachelor’s degree or equivalent work experience
Minimum 2+ years of client service experience in financial services or equivalent
Series 7 and Series 63/65 or Series 66 licenses
Proficient experience with Microsoft Office Suite
Ability to learn other software and technology
Ability to analyze problems and establish solutions
Ability to work independently with minimal supervision and as a member of a team
Ability to collaborate with others
Seasoned judgment when handling clients professionally
Initiative and proactive follow-up to ensure completion and resolve errors
Ability to organize, prioritize, and manage multiple tasks in a fast-paced, evolving environment
Accurate and timely results
Excellent oral and written communication across in-person, phone, and virtual channels
Solid interpersonal skills
Discretion in handling confidential information
Ability to work in a stationary position for several hours at a time
Ability to lift up to 25 pounds occasionally

Benefits

Comp & perks

Variable compensation
Annual discretionary bonus
Health insurance
Dental insurance
Vision insurance
401(k)
Life insurance
Disability insurance
Paid time off
Collaborative support culture
Professional learning and growth opportunities