Registered Client Associate Jobs
Registered Client Associate jobs are open across wealth management, retail brokerage, and financial advisory firms, from entry-level to senior associate, with specializations in client onboarding, portfolio servicing, and compliance support. Scan the live roles below and apply to whichever ones fit.
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Showing 5 of 254+ Registered Client Associate jobs
Job Description:
Merrill Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Wealth Management is one of the largest businesses of its kind in the world specializing in goals-based wealth management, including planning for retirement, education, legacy, and other life goals through investment advice and guidance.
Merrill’s Financial Advisors and Wealth Management Client Associates help clients pursue the life they envision through a personal relationship with their advisory team committed to their needs. We believe trust comes from transparency. Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America.
Merrill is committed to an in-office culture that supports collaboration, engagement, and career development. Our approach includes clear in-office expectations, while providing an appropriate level of flexibility based on role-specific responsibilities and business needs.
At Merrill, we empower you to bring your whole self to work. We value the unique perspectives in our thoughts, business, and within our employees and clients. Our Wealth Management team represents an array of different skills and experiences that individuals bring from all backgrounds and careers; whether gained through military service, community college education, or a wide range of work and life experiences. These journeys foster resilience, leadership and innovation, strengthening our workforce and positively impact the communities we serve.
Job Description:
This job is responsible for providing client service support to potentially multiple Financial Advisors (FAs). Key responsibilities include supporting enterprise strategic objectives, operational excellence goals, and client advocacy within the FA's business, while customizing solutions based on their specific needs. Job expectations include serving as the most frequent point of contact within Merrill to address all service needs of their clients.
Responsibilities:
- Provides excellent Client Service to the bank's clients through educating them on all of the bank's service and banking offerings
- Ensures timeliness, accuracy, and completeness in client materials and follows up on all client and Financial Advisor (FA) requests
- Assists with ensuring practices are in alignment with the bank's policies and procedures to support operational excellence, protect the bank's clients, and manage risk
- Identifies, deepens, and maintains client relationships through emphasizing the bank's offerings and promoting incorporation of banking into day-to-day practices, while communicating outputs to the FA
- Supports day-to-day team activities and needs including covering roles in times of absence or seasonal need increases, while leading with a client first mindset
Required Qualifications:
- Currently holds FINRA Securities Industry Essentials (SIE), Series 7, and Series 66 (63 and 65 accepted in lieu of 66)
- Possesses advanced industry knowledge and an understanding of investment products
- Is an enthusiastic, highly motivated self-starter with a strong work ethic and an intense focus on results
- Demonstrates a client-centric mindset, always acting in the best interest of the client
- Has the ability to learn and adapt to new information and technology platforms
Desired Qualifications:
- Has experience working with clients, quickly fulfilling their needs, delivering complex solutions, and providing an excellent client experience
- Is comfortable operating in a fast-paced environment with changing and evolving responsibilities
- Is detail oriented
- Demonstrates a commitment to continuous learning and professional growth
- Exhibits sound judgment and discretion when handling sensitive information
- Strong computer application skills, including proficiency with Microsoft Word, Excel, PowerPoint, and Salesforce
- Demonstrates professional verbal and written communication skills
Skills:
- Account Management
- Client Management
- Customer and Client Focus
- Issue Management
- Oral Communications
- Business Development
- Client Solutions Advisory
- Pipeline Management
- Prioritization
- Administrative Services
- Emotional Intelligence
- Referral Identification
- Written Communications
Minimum Education Requirement: High School Diploma / GED / Secondary School or equivalent
Internal employees who are currently working from home are still eligible to apply. However, if selected for the role, you may be required to work onsite in accordance with the workplace excellence policy
Shift:
1st shift (United States of America)Hours Per Week:
37.5Job Description:
Merrill Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Wealth Management is one of the largest businesses of its kind in the world specializing in goals-based wealth management, including planning for retirement, education, legacy, and other life goals through investment advice and guidance.
Merrill’s Financial Advisors and Wealth Management Client Associates help clients pursue the life they envision through a personal relationship with their advisory team committed to their needs. We believe trust comes from transparency. Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America.
Merrill is committed to an in-office culture that supports collaboration, engagement, and career development. Our approach includes clear in-office expectations, while providing an appropriate level of flexibility based on role-specific responsibilities and business needs.
At Merrill, we empower you to bring your whole self to work. We value the unique perspectives in our thoughts, business, and within our employees and clients. Our Wealth Management team represents an array of different skills and experiences that individuals bring from all backgrounds and careers; whether gained through military service, community college education, or a wide range of work and life experiences. These journeys foster resilience, leadership and innovation, strengthening our workforce and positively impact the communities we serve.
Job Description:
This job is responsible for providing client service support to potentially multiple Financial Advisors (FAs). Key responsibilities include supporting enterprise strategic objectives, operational excellence goals, and client advocacy within the FA's business, while customizing solutions based on their specific needs. Job expectations include serving as the most frequent point of contact within Merrill to address all service needs of their clients.
Responsibilities:
- Provides excellent Client Service to the bank's clients through educating them on all of the bank's service and banking offerings
- Ensures timeliness, accuracy, and completeness in client materials and follows up on all client and Financial Advisor (FA) requests
- Assists with ensuring practices are in alignment with the bank's policies and procedures to support operational excellence, protect the bank's clients, and manage risk
- Identifies, deepens, and maintains client relationships through emphasizing the bank's offerings and promoting incorporation of banking into day-to-day practices, while communicating outputs to the FA
- Supports day-to-day team activities and needs including covering roles in times of absence or seasonal need increases, while leading with a client first mindset
Required Qualifications:
- Currently holds FINRA Securities Industry Essentials (SIE), Series 7, and Series 66 (63 and 65 accepted in lieu of 66)
- Possesses advanced industry knowledge and an understanding of investment products
- Is an enthusiastic, highly motivated self-starter with a strong work ethic and an intense focus on results
- Demonstrates a client-centric mindset, always acting in the best interest of the client
- Has the ability to learn and adapt to new information and technology platforms
Desired Qualifications:
- Has experience working with clients, quickly fulfilling their needs, delivering complex solutions, and providing an excellent client experience
- Is comfortable operating in a fast-paced environment with changing and evolving responsibilities
- Is detail oriented
- Demonstrates a commitment to continuous learning and professional growth
- Exhibits sound judgment and discretion when handling sensitive information
- Strong computer application skills, including proficiency with Microsoft Word, Excel, PowerPoint, and Salesforce
- Demonstrates professional verbal and written communication skills
Skills:
- Account Management
- Client Management
- Customer and Client Focus
- Issue Management
- Oral Communications
- Business Development
- Client Solutions Advisory
- Pipeline Management
- Prioritization
- Administrative Services
- Emotional Intelligence
- Referral Identification
- Written Communications
Minimum Education Requirement: High School Diploma / GED / Secondary School or equivalent
Internal employees who are currently working from home are still eligible to apply. However, if selected for the role, you may be required to work onsite in accordance with the workplace excellence policy
Shift:
1st shift (United States of America)Hours Per Week:
37.5See All 254+ Registered Client Associate Jobs
Find roles that match your experience and apply in just a few clicks.
Find JobsRegistered Client Associate Job Market
Who's Hiring
- Morgan Stanley77
- Bank of America42
- UBS27
- Raymond James19
- RBC13
Top Industries Hiring
- Banking & Financial Services
- Investment & Asset Management
What Employers Look For
The qualifications that appear most often in registered client associate jobs.
- FINRA Series 7 and Series 66 licenses or willingness to obtain them
- Proficiency with CRM platforms and portfolio management software
- One to three years of experience in financial services or client-facing roles
- Strong written and verbal communication skills for high-net-worth client interaction
- Knowledge of brokerage account types, including retirement and trust accounts
- Bachelor's degree in finance, business, economics, or a related field
Tips for Your Registered Client Associate Job Search
Lead your resume with licensing status
Put your Series 7, Series 66, or any pending FINRA registrations at the top of your resume, not buried in a skills section. Hiring managers screen for licensing before reading anything else, and missing it costs you callbacks.
Apply early to roles that fit
Migrate Mate lists registered client associate openings from across the United States in one place, so you can find roles that match and apply directly to each listing.
Target firms by book-of-business size
Job postings for regional wirehouse branches and independent RIA firms describe very different day-to-day work. Filter for the client asset range you want to support, since the complexity of your daily tasks scales directly with how large the advisor's book is.
Prep for compliance scenario questions
Interviewers at broker-dealers routinely ask how you'd handle a suspicious transaction or a client requesting an unauthorized wire. Practice walking through your steps out loud so your answers sound practiced, not improvised, under pressure.
Show CRM fluency on your application
Name the specific CRM and portfolio management platforms you've used, such as Salesforce Financial Services Cloud or Envestnet, in both your resume and cover letter. Vague claims of tech proficiency don't satisfy applicant tracking system filters the way named tools do.
Negotiate your study support before accepting
If you're unlicensed, ask during the offer conversation whether the firm covers FINRA exam fees, provides study materials, or grants paid prep time. Many firms do, but few volunteer it unless you ask directly.
Registered Client Associate Jobs: Frequently Asked Questions
Which companies are hiring the most registered client associates?
Morgan Stanley, Bank of America, and UBS are hiring the most registered client associates right now, with openings concentrated in Florida, California, and Texas, based on current listings on Migrate Mate as of November 2026. Demand tends to track advisor headcount growth, so firms expanding their financial advisor practices consistently post the most associate roles.
How many registered client associate jobs are remote?
About 34% of registered client associate openings are fully remote or hybrid as of November 2026, with client onboarding and account servicing roles most likely to offer schedule flexibility. Roles tied to in-branch advisor teams or that require handling physical documents tend to remain on-site.
How do you become a registered client associate?
Start by earning a bachelor's degree in a business-related field, then apply to entry-level client service roles at brokerage firms or wealth management practices. Once hired, most firms sponsor you to sit for the Series 7 and Series 66 exams. Passing those exams and accumulating hands-on account servicing experience positions you for the full registered associate title.
Can you get hired as a registered client associate with little experience?
Yes, many firms hire unlicensed candidates into client associate or client service specialist roles and sponsor them through FINRA licensing. Demonstrating strong attention to detail, comfort with financial software, and a client-first communication style in your interview can offset a thin resume. Bank teller, insurance, or any role with direct financial account work strengthens your candidacy significantly.
What does the registered client associate interview process look like?
Most broker-dealer interviews run two to three rounds. The first is typically a phone screen focused on your licensing status and financial services background. A second in-person or video round tests your knowledge of account types, compliance basics, and how you handle difficult client situations. Some firms add a brief written or software proficiency exercise before extending an offer.
Where can I find and apply to registered client associate jobs?
You can find and apply to registered client associate jobs on Migrate Mate, which lists current openings from across the United States. Search the listings to find roles that match your experience and licensing level, then apply directly to each one that fits your background and target market.
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