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Registered Client Associate

Bank of America | Aspen CO 81611 USA | Full Time | Posted: 02/25/2020

Job Descriptiontop

Job Description:

Business Overview

Merrill Lynch Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Lynch 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 Lynch’s financial advisors help clients pursue the life they envision through a one-on-one relationship with an advisor committed to their needs.  We believe trust comes from transparency.  Our trusted financial advisors are equipped with access to the investment insights of Merrill Lynch coupled with the banking convenience of Bank of America.

General Description

The Client Associate (CA) role is a sales support position, typically providing dedicated operational and sales support to multiple Financial Advisors (FA's). Incumbents may also on a regular basis support office initiatives, in addition to the businesses of particular FA's. For established clients, the CA will often serve as the most frequent point of contact with Merrill Lynch. Fully registered CA (Series 7, 63, 65, & 66).

Primary Responsibilities include:

  • Work as a partner with existing CA
  • Provide fundamental support to team by establishing strong client service relationships and assist in the business operation activities of a top performing team
  • Process client and team requests for account servicing needs including opening of new accounts and processing all relevant paperwork, disbursing checks, wires and transfers and maintaining client confidentiality at all times
  • Provide information to clients regarding opportunities to improve banking related services when available to them by proactively calling clients to educate and increase breadth of relationships
  • Provide phone coverage for all incoming and outgoing calls to Financial Advisors during the day

Other Specific responsibilities may include but not be limited to:

  • Frequent client contact, typically by telephone, but also in-person and by email; serving as the main point of contact for established clients
  • Resolving client inquiries and determining which issues require immediate elevation to the Financial Advisor (FA) or a member of the branch management team
  • Investments enrollment
  • Assisting clients in online enrollment
  • Assisting clients through life events from the addition of a new family member to the passing of one.
  • Establishing new accounts, for individuals, families, entrepreneurs and established businesses
  • Identifying clients that could benefit from specific initiatives & service offerings
  • Running team’s business management metrics and updating team in team meetings; defining and implementing processes to positively influence metrics
  • Performing various projects for FA related to running the practice
  • Ability to work independently


  • Undergraduate degree preferred
  • 5+ years’ experience working with a financial advisor strongly preferred
  • Series 7 & 63/65 or 66 registration preferred; if hired without licenses, depending on the needs of the business, you may be required to obtain registrations
  • Knowledge of investment and banking products, policies & procedures is required
  • Strong client service & technical skills (MS Word & Excel)
  • Strong communication, time management and organizational skills are required

Please be advised that under current company policy, Merrill Lynch does not sponsor a visa petition or other work authorization, nor will the company provide relocation assistance, for this position.

NOTE: In addition to any of the Client Associate roles (Registered, Partially Registered or Non-Registered), this position may be hired into any of the Private Wealth Associate roles (Registered, Partially Registered or Non-Registered).


1st shift (United States of America)

Hours Per Week:


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Location Aspen, CO, 81611, United States
Categories Customer Support/Client Care

Location Maptop

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Job Code 19073104

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