Registered Client Associate


Calabasas, CA

Industry: Financial Services


Less than 5 years

Posted 377 days ago

  by    Sinthia Stewart

Registered Client Associate

International Banking and Financial Services

Location near Calabasas, CA

Competitive Salary/Direct Hire


Provides sales practice as well as overall administrative and operational client service support to assist the business activities of the Financial Advisor(s).


Interfaces directly with clients and may solicit orders from clients, provide investment advice to clients, and cold call potential clients for brokerage accounts, under the direction of the Financial Advisor and as securities licensing and registrations permit.


Provides assistance to the Financial Advisor by furnishing account information and quotes, establishing new accounts, and processing deliveries and/or payments.


Handles telephone calls and other inquiries, for research reports as well as resolving account problems. Establishes and maintains files to meet regulatory requirements, creates and produces reports and databases while establishing and maintaining files and record keeping necessary to supportsales efforts.

Provides knowledge and systems support to branch personnel and training for entry-level assistants.


Required Qualifications

• Successfully completed FINRA Series 7 and 63 or 7 and 66 exams to qualify for immediate registration (or FINRA recognized equivalents).

• Strong client service skills.

• Strong attention to detail and accuracy skills.

• Effective organizational, multi-tasking, and prioritizing skills.

• Good verbal, written, and interpersonal communication skills.

• Brokerage industry experience.

• Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills

• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment.

• Experience interacting directly with customers.

• Ability to provide administrative support, including responding to prospect/customer inquiries and requests for information.


Ajulia Executive Search is a search firm specializing in Manufacturing, Finance, IT, Legal and Pharmaceutical positions. This is a confidential search for one of our preferred clients. It is a direct hire position that includes competitive compensation and full comprehensive benefit package.