H-1B Visa Client Associate Jobs
Client Associate roles at banks, wealth management firms, and brokerage houses regularly appear on H-1B visa LCA filings, making them a realistic target for sponsored candidates. A bachelor's degree in finance, business, or a related field typically satisfies the specialty occupation requirement USCIS evaluates during petition review.
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Get Access To All JobsABOUT ROCKEFELLER CAPITAL MANAGEMENT:
Rockefeller Capital Management was established in 2018 as a leading independent financial advisory services firm. Originally founded in 1882 as the family office of John D. Rockefeller, the Firm has evolved to offer strategic advice to ultra- and high-net-worth individuals and families, institutions, and corporations from offices in 33 markets throughout the United States, as well as an office in London. The Firm oversees $221 billion in client assets as of May 31, 2026.
POSITION:
A Private Advisor team within our Rockefeller Global Family Office business unit is seeking a motivated individual to join its growing team as a Client Associate. The Client Associate will work with our Private Advisor team members and will interact directly with high-net-worth clients. The ideal candidate will be the face of the practice and is thorough in their work, operates with a high attention to detail, has strong communication, organization, time management and problem-solving skills, and is driven to develop and grow in their role.
Responsibilities:
- Account opening and maintenance
- Transferring assets and money movement
- Completing investment subscription documents
- Cash management & RMDs
- Assisting with client online access
- Responding to account activity and statement inquiries
- Managing life events
- Administrative work as needed
- Provide top quality service to clients and complete administration of client accounts
- Handle operational aspects of client accounts including reporting on account holdings and investment performance, posting daily cash activity, and entering trade instructions
- Process new accounts and account maintenance, by obtaining all necessary approvals and ensuring all client documentation is returned, completed and approved
- Process all client cashiering requests (money market redemptions, wires, checks, journals, check deposits, etc.)
- Support marketing efforts by promoting client seminars and events
- Offer administrative and office management support to the team
- Prepare client correspondence, obtain necessary management approvals, and transmit
- Review daily activity and reconcile current client activity, funds transfers and previous day’s activity and trades against various clearing firm systems to ensure accuracy
- Assist in preparation of key documents, PowerPoint presentations and reports for client meetings
- Attend client meetings as necessary and present client performance
- Complete necessary filing and maintain client files
- Attend compliance and continuing education training sessions as required by regulatory agencies and the firm
- Additional duties as assigned
QUALIFICATIONS
- 3-5 years prior client service experience within financial industry, or equivalent experience, preferred
- Series 7 & 66, required
- BA/BS degree
SKILLS:
- Strong client facing, interpersonal, organizational, and client service skills
- Detail-oriented with ability to prioritize and organize workflow
- Ability to work in a fast-paced, high intensity work environment as well as manage multiple tasks effectively with frequent interruptions
- Strong Microsoft Office skills including Excel & PowerPoint
- Experience with eMoney and Addepar is a plus
COMPENSATION RANGE:
The anticipated base salary range for this role is $45,000 to $110,000. Base salary for the role will depend on several factors, including a candidate’s qualifications, skills, competencies, and experience, and may fall outside of the range shown. In addition, this role may be eligible for other variable compensation programs. Rockefeller Capital Management offers a comprehensive benefit package including health coverage, vacation time, paid leave, retirement plan, and more.
DISCLOSURE:
Rockefeller & Co. LLC, Rockefeller Financial LLC, Rockefeller Trust Company, N.A., The Rockefeller Trust Company (Delaware), Rockefeller Financial Services, Inc. and all other subsidiaries of Rockefeller Capital Management L.P. (individually and collectively, “Rockefeller”) is an equal opportunity employer and does not discriminate on the basis of race, religion, sex, gender, sexual orientation, gender identity or expression, national origin, citizenship, age, military or veteran status, marital or partnership status, caregiver status, legally recognized disability, or any other basis protected by applicable federal, state or local law (“protected characteristics”).
Rockefeller Capital Management participates in the E-Verify program in certain locations, as required by law.
ABOUT ROCKEFELLER CAPITAL MANAGEMENT:
Rockefeller Capital Management was established in 2018 as a leading independent financial advisory services firm. Originally founded in 1882 as the family office of John D. Rockefeller, the Firm has evolved to offer strategic advice to ultra- and high-net-worth individuals and families, institutions, and corporations from offices in 33 markets throughout the United States, as well as an office in London. The Firm oversees $221 billion in client assets as of May 31, 2026.
POSITION:
A Private Advisor team within our Rockefeller Global Family Office business unit is seeking a motivated individual to join its growing team as a Client Associate. The Client Associate will work with our Private Advisor team members and will interact directly with high-net-worth clients. The ideal candidate will be the face of the practice and is thorough in their work, operates with a high attention to detail, has strong communication, organization, time management and problem-solving skills, and is driven to develop and grow in their role.
Responsibilities:
- Account opening and maintenance
- Transferring assets and money movement
- Completing investment subscription documents
- Cash management & RMDs
- Assisting with client online access
- Responding to account activity and statement inquiries
- Managing life events
- Administrative work as needed
- Provide top quality service to clients and complete administration of client accounts
- Handle operational aspects of client accounts including reporting on account holdings and investment performance, posting daily cash activity, and entering trade instructions
- Process new accounts and account maintenance, by obtaining all necessary approvals and ensuring all client documentation is returned, completed and approved
- Process all client cashiering requests (money market redemptions, wires, checks, journals, check deposits, etc.)
- Support marketing efforts by promoting client seminars and events
- Offer administrative and office management support to the team
- Prepare client correspondence, obtain necessary management approvals, and transmit
- Review daily activity and reconcile current client activity, funds transfers and previous day’s activity and trades against various clearing firm systems to ensure accuracy
- Assist in preparation of key documents, PowerPoint presentations and reports for client meetings
- Attend client meetings as necessary and present client performance
- Complete necessary filing and maintain client files
- Attend compliance and continuing education training sessions as required by regulatory agencies and the firm
- Additional duties as assigned
QUALIFICATIONS
- 3-5 years prior client service experience within financial industry, or equivalent experience, preferred
- Series 7 & 66, required
- BA/BS degree
SKILLS:
- Strong client facing, interpersonal, organizational, and client service skills
- Detail-oriented with ability to prioritize and organize workflow
- Ability to work in a fast-paced, high intensity work environment as well as manage multiple tasks effectively with frequent interruptions
- Strong Microsoft Office skills including Excel & PowerPoint
- Experience with eMoney and Addepar is a plus
COMPENSATION RANGE:
The anticipated base salary range for this role is $45,000 to $110,000. Base salary for the role will depend on several factors, including a candidate’s qualifications, skills, competencies, and experience, and may fall outside of the range shown. In addition, this role may be eligible for other variable compensation programs. Rockefeller Capital Management offers a comprehensive benefit package including health coverage, vacation time, paid leave, retirement plan, and more.
DISCLOSURE:
Rockefeller & Co. LLC, Rockefeller Financial LLC, Rockefeller Trust Company, N.A., The Rockefeller Trust Company (Delaware), Rockefeller Financial Services, Inc. and all other subsidiaries of Rockefeller Capital Management L.P. (individually and collectively, “Rockefeller”) is an equal opportunity employer and does not discriminate on the basis of race, religion, sex, gender, sexual orientation, gender identity or expression, national origin, citizenship, age, military or veteran status, marital or partnership status, caregiver status, legally recognized disability, or any other basis protected by applicable federal, state or local law (“protected characteristics”).
Rockefeller Capital Management participates in the E-Verify program in certain locations, as required by law.
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Get Access To All JobsTips for Finding H-1B Visa Sponsorship as a Client Associate
Verify your degree supports specialty occupation
USCIS requires that your bachelor's degree field directly relates to Client Associate duties. A degree in finance, economics, or business administration strengthens that nexus. A degree in an unrelated field invites a Request for Evidence, so gather any transcript documentation that ties your coursework to client-facing financial work.
Search LCA filings to identify active sponsors
Before applying, confirm the firm has filed H-1B Labor Condition Applications for Client Associate or similar titles. Use the OFLC Wage Search to pull employer-specific filings by SOC code. Migrate Mate surfaces this DOL filing history directly, so you can target firms with a real sponsorship track record.
Target mid-size registered investment advisers
Large wirehouses get the most attention, but mid-size RIAs and regional broker-dealers often sponsor H-1B holders for Client Associate roles with less internal competition. Their hiring managers also tend to have more flexibility in the offer timeline, which matters when coordinating the LCA and I-129 filing sequence.
Time your offer acceptance around the cap deadline
H-1B cap-subject petitions must be filed in April for an October 1 start date. If you receive an offer in June, your employer can't file until the following April. Discuss this calendar explicitly with the hiring manager so your start date expectations align with USCIS processing realities from day one.
Confirm the employer will cover required filing fees
Employers are legally required to pay the I-129 filing fee and any premium processing they choose to use. For Client Associate roles at firms with 26 or more full-time employees, the ACWIA training fee also applies. Clarify fee responsibility in writing before signing an offer letter.
Check whether the firm is E-Verify enrolled
Some financial services firms participate in E-Verify voluntarily or as a federal contractor requirement. E-Verify enrollment affects your cap-gap protections if you're transitioning from F-1 OPT, and it signals that the HR team has experience managing employment verification for sponsored workers.
H-1B Visa Client Associate: Frequently Asked Questions
Does a Client Associate role qualify as a specialty occupation for H-1B purposes?
Yes, provided the position requires a bachelor's degree or higher in a directly related field such as finance, economics, or business administration. Generic job postings that list a degree as preferred rather than required can weaken the specialty occupation argument. Ask the employer to confirm the educational requirement is stated as a minimum in the official job description before filing.
Which industries hire Client Associates on H-1B visas most often?
Wealth management firms, brokerage houses, private banks, and registered investment advisers account for the majority of LCA filings for Client Associate titles. Some insurance companies and asset management firms also sponsor this role. You can browse H-1B sponsoring employers by role on Migrate Mate, which pulls from DOL Labor Condition Application data to show verified filing history.
Can I transfer my H-1B to a new Client Associate employer mid-year?
Yes. Under H-1B portability rules, you can start working for a new employer as soon as the transfer petition is filed, without waiting for USCIS approval, as long as you've been in valid H-1B status for at least 180 days. The new employer files a new I-129 petition and LCA covering the Client Associate role at the prevailing wage for their location.
What prevailing wage level typically applies to Client Associate positions?
Most entry-level and mid-level Client Associate roles fall under Level I or Level II of the DOL prevailing wage scale for the relevant SOC code. The exact wage depends on the employer's geographic area and the specific duties described in the LCA. You can look up applicable wage levels by SOC code and location using the OFLC Wage Search before negotiating your offer.
Does the Series 7 or Series 66 license requirement affect H-1B eligibility for Client Associates?
Licensing requirements don't disqualify you from H-1B sponsorship, but they do create a practical timing issue. FINRA generally requires employment or a pending offer to sponsor a license exam. Some employers file the H-1B petition first and allow you to sit for licensing exams after your start date, but confirm this sequence with the hiring manager and compliance team early in the process.