Registered Client Associate Resume Sample
Maritza Batz
341 Little Greens,
Dallas,
TX
+1 (555) 174 2832
Work Experience
Registered Client Associate
09/2016
-
PRESENT
Chicago, IL
- Service clients in a pleasant, professional manner. Answer questions about their accounts and trading procedures within the established scope of the position's responsibility. Provide information such as account balances, stock quotes and other account-related information.
- Build and maintain a professional rapport with clients.
- Keep FA(s) informed of all important information and activities related to their clients’ accounts and transactions.
- Research and effectively resolve complex problems in client accounts at the request of the client or FA. Notify the FA and/or client of the outcome.
- Ensure that all appropriate account documentation is obtained and maintained.
- Stay up to date on changing operational procedures.
- Adhere to all compliance policies and procedures and complete required internal continuing education activities.
Senior Registered Client Associate
09/2009
-
03/2016
Los Angeles, CA
- Maintain a high level of confidentiality in accordance with RBC’s Code of Conduct.
- Facilitate the transfer of funds and securities and the issuance of clients’ checks, wires and ACH’s when requested.
- Coordinate and ensure timely mailing of client information (e.g., BETALink reports, research, etc.).
- Send out direct mail campaigns at the direction of the FA(s)
- Service clients in a pleasant, professional manner. Answer routine questions about their accounts within the established scope of the position's responsibility. Provide information such as account balances and other account-related information.
- 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
- Adhere to all compliance policies and procedures while maintaining a high level of confidentiality in accordance with RBC’s Code of Conduct
Temporary Registered Client Associate
10/2002
-
03/2009
San Francisco, CA
- Communicate and escalate any important account information to the Financial Advisors on behalf of their clients
- Ensure that all appropriate account documentation is obtained and maintained. Examples could include facilitating the transfer of funds and securities and issuing client’s checks, wires and ACH’s as requested
- Places trades for Financial Advisor’s (FA) when requested
- Supports FA’s and responds to FA requests
- Developing service models individualized to each client’s specific needs
- Help continue to grow team’s business
- Manage the day to day operations, opening new accounts and processing various service requests
- Assist in the preparation of reports and other materials for client meetings
- Plan team marketing events and maintain marketing materials
Education
Norwich University
1998 - 2002
School's Degree in Management
Professional Skills
- Experience as a Client Services Assistant with direct operations experience in a fast paced financial services environment (wirehouse/bank/broker-dealer/RIA)
- Strong client service & technical skills (MS Word & Excel), Strong communication, time management and organizational skills are required
- Strong customer service skills and actively learns, demonstrates and fosters the Umpqua. Investments corporate culture in all actions and words
- Excellent computer skills (Microsoft Office & Excel)
- Strong client service & technical skills (MS Word, Excel and Salesforce)
- Strong communication, time management and organizational skills are required.
- Organizational skills and ability to prioritize Ability to work independently and take personal initiative
How to write Registered Client Associate Resume
Registered Client Associate role is responsible for organizational, word, basic, research, trading, database, training, securities, credit, technical.
To write great resume for registered client associate job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Registered Client Associate Resume
The section contact information is important in your registered client associate resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Registered Client Associate Resume
The section work experience is an essential part of your registered client associate resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous registered client associate responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular registered client associate position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Registered Client Associate resume experience can include:
- Securities industry experience
- Document all relevant meeting notes, plan updates and opportunities
- Assist with marketing efforts
- Personable (enjoys working with others)
- Maintain auditor files including mutual funds and 401K files
- Oversee office functions including client communications, office supplies, and more
Education on a Registered Client Associate Resume
Make sure to make education a priority on your registered client associate resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your registered client associate experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Registered Client Associate Resume
When listing skills on your registered client associate resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical registered client associate skills:
- Excellent skills in Microsoft Office (Word, Excel, PowerPoint and Outlook)
- Exceptional phone, interpersonal, oral/written communication skills, & speak articulate English
- Intermediate computer skills (Microsoft Word, Excel, Outlook)
- Superior organizations skills
- Knowledge of investment and banking products, policies & procedures is strongly encouraged
- Previous sales support experience
List of Typical Skills For a Registered Client Associate Resume
1
Skills For Senior Registered Client Associate Resume
- 2 of our CSAs recently promoted to TFAs on our team
- Fluent in Chinese/ Mandarin
- Medium Risk- handles public and confidential information (potential reputational risk and financial risk)
- Provide administrative support to financial advisers and brokers on site
- Manage clients and their accounts and help with questions, updates, or adjustments as needed
- Process checks and stock certificates
2
Skills For Umpqua Investments Registered Client Associate Portland Resume
- Purchase and sell securities within scope of authority
- Research and complete information requests
- In addition to English, fluent in Spanish is required
- Series 7 license and Series 63/65 (or 66) license
- Provide pro-active relationship management for all institutional relationships
- Timely response to all needs of institutional relationships
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