Registered Wealth Management Client Associate
Job Overview – Registered Wealth Management Client Associate:
A Wealth Management firm is seeking a dedicated Associate Advisor to provide critical support in serving clients and maintaining compliance. If you have a strong financial background and the desire to contribute to a dynamic team, we encourage you to apply.
Compensation: $60,000.00 – $65,000.00
Location: Los Angeles, CA – Remote
Responsibilities as the Registered Wealth Management Client Associate Include:
- Handle case notes, process correspondence, maintain client case files, and file performance reports, account forms, and other advisory paperwork
- Manage the advisor's calendar, scheduling and attending follow-up appointments
- Ensure compliance with NMIS and NMWMC requirements
- Gather information for Wealth Management Advisor meetings with clients and prospects
- Prepare advisory annual review information
- Prepare and modify PPAs and investment/advisory proposals
- Draft letters of instruction for client signature
- Prepare investment policy statements, needs-based analyses, or financial plans
Requirements for the Registered Wealth Management Client Associate Include:
- Series 7 license required
- Minimum 3 years of financial experience in a similar role required
- Bachelor's Degree Required
- Familiarity with Microsoft applications
- Experience in the securities industry with advisory experience required
Benefits:
- Fully Remote Work Schedule
- PTO + Company Paid Holidays
- Full Healthcare Benefits
- 401K + Company match
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further
discussion.