Friday, October 31, 2008

Registered Client Associate

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Merrill Lynch

Merrill Lynch is one of the world’s leading wealth management, capital markets and advisory companies, with offices on six continents. We are a leading global trader and underwriter of securities and derivatives across a broad range of asset classes and serve as a strategic advisor to corporations, governments, institutions and individuals worldwide.

Global Wealth Management

Global Wealth Management provides advice-based wealth management services and products to individual clients and businesses. The GWM business model is based on our network of more than 15,000 financial advisors (FAs) in nearly 700 offices around the world and the one-to-one relationships they develop with their clients.

Every aspect of a client's financial life is considered, enabling financial advisors to become essential partners to their clients and provide customized financial planning and wealth management advice, products and services.

GWM serves the myriad needs of high-net-worth individuals and small- and mid-sized business owners. Nearly two-thirds of assets under management come from relationships with clients who have investable assets of $1 million or more. We also serve thousands of individuals through employee retirement plans.

Registered Client Associate

The Registered Client Associate role is a sales support position, typically providing dedicated administrative and sales support to multiple Financial Advisors.


Specific responsibilities may include but not be limited to:

Prospect for new business in addition to prospecting existing clients for new product and service offerings
Determine which clients are most appropriate to contact for specific initiatives & service offerings
Place certain unsolicited orders for designated clients, under Financial Advisor supervision
Serve as the main point of contact for established clients
Having such frequent contact makes the Registered Client Associate a key contributor to client satisfaction and client retention, both of which are essential to growth in revenue and profitability. To the extent that the Registered Client Associate can handle most routine matters, the time of the Financial Advisor can be better focused on asset-gathering and revenue generating opportunities.

Additionally, the Registered Client Associate plays a key role in the Advisory Division’s efforts to dramatically increase client retention and in its implementation of the client segmentation strategy.


Undergraduate degree or equivalent experience preferred
Minimum of 1+ years professional experience required
Series 7 & 63/65 or 66 registration required
Prior knowledge of financial products, policies & procedures is required
Strong client service & technical skills (MS Word & Excel)
Strong communication, time management and organizational skills are required

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