Position Details

Type Full-Time

Experience entry

Exp. Years Not specified

Education High School Diploma/Equivalent required; Bachelor's degree preferred

Category Finance & Accounting

About this role

Support the branch by onboarding clients, handling regulatory and licensing requirements, and assisting Financial Advisors with day-to-day branch operations in Lexington, NC.

Key Responsibilities

Deepening relationships with existing clients
Gather information to open new accounts
Research portfolio performance and asset allocation
Execute buy/sell orders as directed
Answer client questions about stock recommendations

Technical Overview

Non-technical role with emphasis on securities licensing, FINRA registrations, and insurance licensing; basic office and customer service tools used daily.

Ideal Candidate

The ideal candidate is an entry-level to junior financial services professional with Series 7 and Series 66 in place or willing to obtain, along with FINRA registrations. They should be capable of independent work, client onboarding, and adhering to regulatory requirements while supporting a Financial Advisor.

Must-Have Skills

Series 7Series 66FINRA registrations required within three monthsState insurance licenses requiredHigh School Diploma/Equivalent

Nice-to-Have Skills

Bachelor's degree preferred3-5 years experience preferred

Required Skills

Series 7Series 66FINRA registrationsState insurance licensesHigh School Diploma/EquivalentBachelor's degree preferredIndependent workRegulatory requirementsClient onboardingAccount openingFinancial services

Hard Skills

Series 7Series 66FINRA registrationsState insurance licenses

Soft Skills

independenceproblem solvingcritical thinkingteamworkcommunicationattention to detail

Certifications

Required

Series 7 (General Securities Representative)Series 66 (Uniform Securities Agent State Law)

Industry & Role

Industry Banking

Job Function Provide branch-level support and regulatory compliance to enable Financial Advisors to serve clients effectively

Role Subtype Registered Branch Associate

Keywords for Your Resume

registered branch associateedward joneslexington ncseries 7series 66finrastate insurance licensesfinancial servicessecuritieshigh school diplomabachelor's degree preferred3-5 years preferredon-sitefull-timeclient relationshipsnew accountssuitability informationaccount openingregulatory requirementstrainingSeries 7Series 66FINRA registrationsState insurance licensesEdward Jones

Deal Breakers

No Series 7, No Series 66, No FINRA registrations within three months, No state insurance licenses

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