Client Associate/Registered Client Associate Job Opening

Client Associate/Registered Client Associate

RBC

Wayzata, Minnesota
Category: Financial Advisor

What is the opportunity?

As a Client Associate/Registered Client Associate with RBC Wealth Management you will be responsible for providing administrative and operational support to one or more Financial Advisors (FA) and/or the Branch Director. Your responsibilities will include assisting clients, researching problems, processing account forms, maintaining account records, and preparing client correspondence. You will be working in a fast paced, professional environment, while partnering and supporting the Financial Advisors to maintain and build new client relationships.


What will you do?

  • Build and maintain a professional rapport with clients. Examples could include answering account questions such as account balance information or other account related information.
  • Communicate and escalate any important account information to the Financial Advisors on behalf of their clients. Examples could include researching and helping resolve complex problems in client accounts.
  • Ensure that all appropriate account documentation is obtained and maintained. Examples could include facilitating the transfer of funds and securities, entering trades in client accounts, and issuing client’s checks, wires and ACH’s as requested.
  • Inform clients about missing paperwork and securities or funds due in accordance with branch, complex, firm and compliance policies.
  • Adhere to all compliance policies and procedures while maintaining a high level of confidentiality in accordance with RBC’s Code of Conduct.


What do you need to succeed?

Must-have

  • High school diploma or equivalent with a minimum of 1-2 years general office experience
  • Excellent verbal and written communication skills
  • Series 7 and 66 (or 63 & 65) licenses or the ability to get licensed within 6 months of hire
  • A sound understanding of the stock market, investments and retirement plans with an emphasis on fixed income products, equities, mutual funds, and insurance and annuities
  • Authorized to work in the U.S. without requiring visa sponsorship


Nice-to-have

  • Detail orientated with strong organizational skills
  • Ability to manage multiple demands and competing priorities
  • Ability to meet tight deadlines
  • Associate’s degree or Bachelor’s degree with prior industry experience


What’s in it for you?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.