Position Details

Type Full-Time

Experience mid

Exp. Years 3-5 years of relevant experience in securities/financial services industry preferred

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

Category Sales & Business Development

About this role

Registered Branch Associate supports the Financial Advisor by deepening client relationships, gathering suitability information for new accounts, and executing buy/sell orders while ensuring regulatory compliance.

Key Responsibilities

Deepening relationships with existing clients
Gather suitability information to open new accounts
Research portfolio performance and asset allocation
Execute Financial Advisor solicited buy/sell orders
Answer client questions regarding stock recommendations

Technical Overview

Regulatory compliance focus with FINRA certifications and knowledge of portfolio performance, asset allocation, and investment products; uses Edward Jones tools and branch processes.

Ideal Candidate

The ideal candidate is a mid-career financial services professional with Series 7 and Series 66 credentials, strong client relationship skills, and the ability to manage regulatory requirements and account openings within Edward Jones.

Must-Have Skills

Series 7Series 66FINRA registrations within three monthsState insurance licenses

Nice-to-Have Skills

Bachelor's degree

Required Skills

Regulatory requirements related to selling financial solutionsIndependent problem solvingAttention to detailRelationship building with clientsPortfolio performance analysisAsset allocationOpen new accountsSuitability informationBuy/sell ordersClient questionsTeam collaborationRegulatory training

Hard Skills

Series 7Series 66FINRA registrationsRegulatory requirements related to selling financial solutionsSecuritiesSecurities/financial services experienceopen new accountssuitability informationportfolio performanceasset allocationinvestmentsbuy/sell ordersEdward JonesFinancial Advisorbranch operations

Soft Skills

CommunicationProblem solvingTime managementAttention to detailTeam collaborationResilience

Certifications

Required

Series 7Series 66FINRA registrationsState insurance licenses

Industry & Role

Industry Financial Services

Job Function Support Financial Advisor by managing client relationships, processing accounts and orders, and ensuring regulatory compliance

Role Subtype financial advisor support

Keywords for Your Resume

registered branch associateedward joneslexington ncseries 7series 66FINRA registrationsregulatory requirementssuitability informationopen new accountsportfolio performanceasset allocationinvestmentsbuy/sell ordersclient questionsfinancial advisorbranch officetrainingcomplianceteamworkcustomer relationshipsSeries 7Series 66Edward Jones

Deal Breakers

Must have Series 7 and Series 66, FINRA registrations required within 3 months, State insurance licenses required

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