Registered Client Associate The Registered Client Associate (RCA) provides sales and operational support to multiple Financial Advisors (FAs). On occasion the RCA will assist with office support for firm initiatives.
Major Job Responsibilities Provide account information to clients and FAs. Maintain accurate customer account records. Process customer account changes. Respond to inquiries, research requests and resolve problems. Provide report and information to FAs Clerical duties such as handling phones, mailings, filing and form processing and other duties as assigned by Supervisor.
Works on assignments that are moderately complex in nature where judgment is required in resolving problems and making routine recommendations. Normally receives no instruction on routine work, general instructions on new assignments.
Requirements Completion of high school, vocational training or equivalent. Two-five years of investment industry experience preferred. Strong customer service skills and actively learns, demonstrates and fosters the Umpqua Investments corporate culture in all actions and words. Strong communication skills (written and verbal). Organizational skills and ability to prioritize. Ability to work independently and take personal initiative. Excellent skills in Microsoft Office (Word, Excel, PowerPoint and Outlook). FINRA Series 7 and 63 or 65 preferred. If hired without licenses candidate will need to acquire within 90 days.
Ability to demonstrate compliance with all regulations for assigned job function and apply to designated job responsibilities – knowledge may be gained through coursework and on-the-job training. Must be able to keep up to date on regulation changes. Follows all policies and procedures, compliance regulations, and completes all required continuing education or job-specific training.
Physical Requirements and Working Conditions – Work involves sitting, occasional walking and lifting up to 15 pounds. Requires close visual acuity. Normal office environment.
Relocation assistance is not offered for this position.