Registered Client Assistant III--Wealth Management (Richmond, Fredericksburg, Christiansburg, Charlottesville)

Sandy Spring Bancorp
United States
Workplace: OnsiteFull timeFunction: Administration & Executive AssistanceExperience: 5-7 yearsEducation: high_schoolSkills: ["Customer service","Communication","Interpersonal skills","Multi-tasking","Analytical skills"]

Serve as a liaison between clients, Financial Advisors, and back-office operations, helping ensure exceptional customer experience. Support brokerage and direct accounts by maintaining and updating client and departmental files and records, compiling data for reports and correspondence, and facilitating effective internal and external communication. Mentor Client Assistant I & II team members while adhering to applicable policies, procedures, and FINRA/banking regulations.

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Sandy Spring Bancorp
Sandy Spring Bancorp
3 months ago

Registered Client Assistant III--Wealth Management (Richmond, Fredericksburg, Christiansburg, Charlottesville)

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Last checked: 1 hour agoStatus: Live

Job Summary

Serve as a liaison between clients, Financial Advisors, and back-office operations, helping ensure exceptional customer experience. Support brokerage and direct accounts by maintaining and updating client and departmental files and records, compiling data for reports and correspondence, and facilitating effective internal and external communication. Mentor Client Assistant I & II team members while adhering to applicable policies, procedures, and FINRA/banking regulations.
Location: United States
Workplace: Onsite
Employment Type: Full time
Job Function: Administration & Executive Assistance
Seniority: Mid level

Key Responsibilities

  • •Act as a liaison between clients, Financial Advisors, and back-office operations to support client service.
  • •Assist Financial Advisors and maintain/satisfy client needs for brokerage and direct accounts.
  • •Communicate with internal teammates and external parties to exchange information and provide customer service.
  • •Establish, maintain, and update department and client files and records, compiling data and preparing reports and correspondence.
  • •Ensure compliance with company policies and applicable laws/regulations, and mentor Client Assistant I & II positions.

Key Requirements

  • •High school diploma (higher education degree preferred).
  • •Minimum 5-7 years of experience in the financial services industry.
  • •2+ years as a Registered Client Assistant (required).
  • •FINRA registrations including SIE, Series 7 or 6, and 63 (required).
  • •Virginia life insurance and annuities licenses (required).
Experience:5-7 yearsFinancial services
Education:High School
Skills:Customer serviceCommunicationInterpersonal skillsMulti-taskingAnalytical skills
Licenses:Virginia life insurance licenseVirginia annuities license
Certifications:FINRA SIEFINRA Series 7FINRA Series 6FINRA Series 63
Tech Stack:Microsoft OfficeOnline systems

Company Brief

Sandy Spring Bancorp
Bank holding company for Sandy Spring Bank, providing commercial and personal banking, lending, treasury management, and wealth services across the Mid-Atlantic region. Serves businesses, individuals, and nonprofit organizations through a branch and digital banking network.
Industry: Banking
Company Size: Large (251 to 1,000 employees)
Revenue: USD 100M to 250M
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Olney, United States
Founded: 1868
WebsiteLinkedIn