Registered Client Relationship Analyst
About The Position
Registered Client Relationship Analysts provide exceptional service to clients and support Financial Advisors (FAs), Private Wealth Advisors (PWAs), and their teams. Through regular client interactions, they build trusted relationships and help clients with everyday needs, guided by a client-first mindset. The role includes client-service and clerical support, such as assisting with client relationships, processing money movement transactions at the direction of clients or advisors, answering general non-investment account questions, maintaining account information and documentation, onboarding clients, and helping clients use digital tools. Analysts also support advisor business plans and marketing strategies, prepare materials for client meetings, assist with research and data entry, and stay current on firm policies, procedures, and platforms. Administrative duties include handling calls, coordinating calendars and meetings, maintaining travel itineraries, preparing expense reports, and providing general in-office support. The position reports to a Business Service Officer.
Requirements
- High school diploma or equivalent.
- Active Series 7 (GS) and Series 66 (AG/RA), or Series 63 (AG) and Series 65 (RA).
- Knowledge of financial services products, including equities, bonds, options, mutual funds, annuities, insurance, and managed accounts.
- Strong attention to detail, superior organizational skills, and ability to prioritize.
- Advanced Microsoft Office skills, including Word, Excel, Outlook, and PowerPoint.
- Exceptional writing, interpersonal, and client service skills.
- Strong time management skills.
- Ability to collaborate with others as a team player.
- Ability to work in a fast-paced, evolving environment.
- Adaptability and ability to multitask.
- Goal-oriented, self-motivated, and results-driven.
- Must be legally authorized to work in the United States and must not require employment visa sponsorship now or in the future.
Nice To Haves
- College degree preferred.
- Two or more years of industry experience preferred.
Responsibilities
- Support Financial Advisors, Private Wealth Advisors, and teams in cultivating and enhancing new and existing client relationships.
- Execute money movement transactions at the request of clients and/or the FA, PWA, or team.
- Answer general non-investment-related questions about client accounts, including relaying stock positions and account balances.
- Enter profile information or pre-fill account documentation in a clerical capacity at the direction of clients and/or the FA, PWA, or team.
- Educate or enroll clients in digital tools such as MSOnline, eSign, and eAuthorization.
- Onboard and maintain client accounts, including collecting client information and required documentation in a clerical capacity.
- Provide existing clients with account information such as investment objectives and risk tolerance.
- Accept or enter unsolicited orders and enter solicited orders in a clerical capacity at the direction of the FA, PWA, or team.
- Assist Financial Advisors and teams in delivering their business plan and client service model.
- Support the Financial Advisor or team marketing strategy, including website maintenance.
- Assist with clerical research on investment portfolio holdings and performance reporting, and prepare client meeting materials using firm-approved systems.
- Assist with data entry for client needs such as new account opening and financial planning at the direction of FAs, PWAs, or teams.
- Remain current on firm policies, procedures, and new platforms.
- Participate in firm initiatives, training or education programs, special projects, and other duties directed by local management.
- Answer inbound calls and make outbound calls, including scheduling follow-up calls with FAs, PWAs, or teams.
- Manage calendars and coordinate meetings or events, including preparing materials, maintaining agendas, and sending calendar invitations with Zoom credentials.
- Maintain travel itineraries, prepare expense reports, and manage the reimbursement process.
- Provide general in-office support, including copying, filing, and scanning documents.
- Prepare and submit expense reports for processing at the direction of the FA or PWA.
Benefits
- Medical insurance
- Prescription drug coverage
- Dental insurance
- Vision insurance
- Health Savings Account
- Dependent Day Care Savings Account
- Life insurance
- Disability and other insurance plans
- Paid time off, including sick leave consistent with state and local law
- Parental leave
- 10 paid holidays
- 401(k)
- Short- and long-term disability
- Annual discretionary incentive compensation award may be available
- Participation in a business unit incentive compensation plan, potentially including a discretionary bonus, may be available
- Other special employee perks
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
High school or GED
