Registered Client Associate Resume Samples

The role of a Registered Client Associate is to render assistance and information to subordinate financial advisers and help them acquire new client investment accounts and portfolios. The common work activities seen on a Registered Client Associate Resume include – sharing sales knowledge with associates or customers, supporting and performing administrative tasks for subordinate financial advisers, lending assistance to subordinate financial advisers, maintaining client account information, leveraging various communication channels, collecting appropriate documents to create new accounts, and educating clients on account services and capabilities.

To work at this level, possessing these abilities will be resourceful – strong interacting capacities, outstanding communication skills, knowledge of banking procedures and processes, and a solid understanding of various types of investments. Qualifications for this role include a college degree preferably in the field of accounting, finance or business.

Registered Client Associate Resume example

Registered Client Associate Resume

Summary : Friendly and enthusiastic Administrative Assistant with experience. Learns new tasks quickly, proficient in growing customer relationships.

Skills : Management, Analytical Skills.

Description :

    1. Provided advice-based wealth management services and products to individual clients and small to mid-size businesses.
    2. Educated existing clients on new product and service offerings, determined which clients are ideal for specific initiatives.
    3. Maintained diverse knowledge of the company's financial products, policies, and procedures, and developed strong client services.
    4. Worked alongside a group of specialists in banking, retirement, insurance, and investments as well as played a key role in business development.
    5. Studied the factors that affected the company's profitability and my team's contribution to the business while managing risks.
    6. Collaborated with legal and accounting counsel to develop marketing strategies for estate and business succession planning.
    7. Developed growth plans by identifying key clients, key targets and priority service lines.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
Management


Registered Client Associate II Resume

Headline : Goal oriented Registered Client Associate adept at creating valuable relationships with clients. Absorbs new and useful information.

Skills : Advising, Building Strong Loyalty, Annuity Distributions.

Description :

    1. Executed client trades by analyzing account and market, making strategic recommendations that significantly maximize client profitability.
    2. Determined and performed account-opening functions for 401K rollovers, retirement accounts, or standard brokerage registrations.
    3. Determined and expedite ACAT, DRS, 1035 Exchange or Reg60 requirements ensuring prompt and accurate transfer.
    4. Built and maintained client relationships through resolving issues and answering questions in a timely and customer-focused manner.
    5. Tracked life insurance underwriting and medical " application to issue" requirements.
    6. Worked closely with insurance carriers and brokerage firms, building solid relationships with employees reducing transactions.
    7. Cultivated in-depth Reg T discussions, which resulted in greater client understanding of credit and margin regulations.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Masters


Registered Client Associate/Representative Resume

Summary : Senior Registered Sales Associate with a proven long-term track record of supporting Financial Advisors and clients. 

Skills : Financial Analysis, Accounting, Auditing, Modeling.

Description :

    1. Teamed with a Senior Financial Advisor, providing analytical and operational support for numerous client portfolios totaling $130M.
    2. Analyzed and evaluated strategic and tactical asset allocation strategies based on client investment objectives, risk tolerance, and third party research.
    3. Performed year-end analyses of several high net worth client portfolios, including evaluation of asset allocations and underlying investments.
    4. Assisted the advisor in determining the appropriate mix of individual securities, mutual funds, ETFs, and other investment vehicles.
    5. Screened equities based on certain value investing criteria to create a stock sub-portfolio.
    6. Completed an online Wall Street preparatory financial statement modeling and valuation course.
    7. Applied knowledge to build a fully integrated three statement model using established conventions for forecasting and schedule design.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
Accounting

Registered Client Associate/Co-ordinator Resume

Summary : To secure a position within a progressive organization emphasizing responsibility, personal growth, and professional achievement.

Skills : Visual Basic, Communication Skills.

Description :

    1. Responsible for maintained manual or on-line posting, and other files to obtain portfolio valuations for clients and prospects.
    2. Identified investment opportunities using a client profiling and relationship-building platform.
    3. Created and produced reports and databases utilizing industry-specific software to track investment performance.
    4. Developed proven sales strategies and marketing campaigns, receiving company-wide recognition.
    5. Capitalized on sales training and educational opportunities, resulting in a series.
    6. Contributed to the success, development, and retention of a multi-million dollar book of business as an active member of a seasoned sales team.
    7. Trained new advisors offering education plans and mentor opportunities based on the individual advisor's business objectives, focus, and sales goals.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
International Business

Registered Client Associate/Analyst Resume

Summary : Registered Client Associate with providing excellent service to Wealth Management clients and Retirement Plan participants. 

Skills : Communication Skills, Management.

Description :

    1. Responsible for delivering accurate, timely, and excellent support to a Financial Advisor and wealth management clients.
    2. Prepared of custom reports, processing new accounts, entering trade orders, and creation of custom marketing materials are also daily activities.
    3. Prided in the timeliness, attention to detail, and quality of all of my work.
    4. Worked independently and a great team member as well.
    5. Built a basis for marketing materials through website editing and design, creation of a team resume, and a customized marketing brochure/portfolio.
    6. Processed through efficiency and opportunity, meaningful contact with clients.
    7. Able to surpass expectations with knowledge of the financial industry, processes, and excellent client service.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
Marketing

Registered Client Associate/Technician Resume

Headline : Documentation of innovative procedures, participant statements, and assistance with the marketing of new services to clients.

Skills : Computer applications, Organize, Data entry, Handle cash.

Description :

    1. Supported five financial advisors who collectively managed in excess of $250 million.
    2. Created a client experience by executing all phases of client service, client relationship building, and account maintenance.
    3. Developed marketing campaigns that aligned with each financial advisors' business model and client type to help increase productivity and sales.
    4. Furnished account information, quotes, specialized reports, and established new accounts for financial advisors and clients.
    5. Executed stock, mutual fund, UTF, annuity, options, and syndicate orders.
    6. Monitored and analyzed account activity and prepared research reports for all brokerage accounts in the financial advisors' books of business.
    7. Led informational seminars and client appreciation events.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Bachelor Of Arts

Registered Client Associate/Director Resume

Headline : Interested in a leadership role within a progressive organization. Perform administrative duties and basic financial functions, but their main role is to assist clients.

Skills : CRM Management Software, RFP's Regarding Enterprise.

Description :

    1. Supported services to a group of Wealth Advisors.
    2. Executed Trades, anything from Equities to Bonds, UIT's, Mutual Funds and perform Asset movement.
    3. Continued Education and training are requirements as well.
    4. Coordinated all Wealth Advisor and Wealth Client requests and accomplish them within the company and industry guidelines.
    5. Tasked with a consistent level of superior service on a daily basis.
    6. Worked with high net worth clients in the administration and service of their accounts.
    7. Administered SalesForce functions for the entire banking team.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Business Administration

Associate Registered Client Associate Resume

Headline : Creating Excel databases for top Wealth Management Advisors. The overall emphasis in the area of providing financial services.

Skills : Microsoft Office Suite, Communication Skills.

Description :

    1. Assisted in the transfer of a 40-year-old book of business from Wells Fargo Advisors to Raymond James Brokerage Firm.
    2. Performed large orders on the exchange for clients.
    3. Implemented many forms of dollar-cost averaging for mutual funds.
    4. Established relationships with clients by helping to manage their portfolios.
    5. Assisted in planning and building presentations.
    6. Helped to assist clients in rolling funds from their 401k plans to their IRA.
    7. Implemented different tax strategies in taxable accounts for clients at the end of each year.
    8. Assisted in contacting clients regarding their Required Minimum Distribution.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
BBA

Lead Registered Client Associate Resume

Headline : Technically-adept assistant with advanced knowledge of MS Office Suite and experience.Expertise in proactively addressing the diverse needs of high-net-worth clients.

Skills : Salesforce, Organization Skills.

Description :

    1. Served as a primary point of contact for clients, wholesalers, and management for the region's top-producing team.
    2. Maintained contact management system with up to date client information.
    3. Ensured appropriate documentation organized, maintained and updated for all clients.
    4. Monitored account activity; Ensure correct allocations; Execute orders when necessary.
    5. Required Minimum Distributions, tax-loss selling, and other business opportunities for marketing materials.
    6. Prepare reports and other materials for client/prospect meetings.
    7. Identified service opportunities for clients.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Diploma

Asst. Registered Client Associate Resume

Objective : Answer client inquiries, setup meetings between clients and advisors and contact clients with information regarding their accounts or investments.

Skills : Communication Skills, Listening Skills.

Description :

    1. Supported Branch Manager by providing administrative and client support.
    2. Scheduled meetings, compliance reviews, and monitored expense reports.
    3. Maintained and updated all client, branch, and compliance files.
    4. Tracked and maintained broker registrations and insurance licenses, working with the V.P.
    5. Performed Human Resource function by recruiting brokers.
    6. Responsible for the addition of two brokers to the branch.
    7. Assisted financial advisors by providing sales and servicing support.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
Coding

Registered Client Associate Resume

Summary : Seeking a position within the Financial Industry utilizing a high level of customer service, time management and organizational skills.

Skills : Decision Making Skills, Management.

Description :

    1. Served as the primary point of contact for clients, wholesalers, and management for the region's top-producing team.
    2. Maintained management system with up to date client information.
    3. Ensured appropriate documentation was collated for new accounts.
    4. Proactive in making outgoing service calls for Required Minimum Distributions, tax-loss selling, and other business opportunities.
    5. Organized logistics for team marketing events and maintained marketing materials.
    6. Prepared reports and other materials for client meetings.
    7. Identified service opportunities for clients.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
General Studies