Registered Wealth Associate

Job Description

It’s about supporting people, our people.

Are you known as an organized individual? Do you enjoy working independently and with a team? Do you find yourself creating a task list daily? If so, then the Registered Wealth Associate role may be right for you!

At Frost, it’s about more than a job. It’s about having a flourishing career where you can thrive, both in and out of work. At Frost, we’re committed to fostering an environment that reflects our values and encourages team members to be the best they can be. In joining our adaptable, integrity-driven team, you’ll become part of Frost’s 155-year legacy of providing unparalleled banking services.

Who you are:

As a Registered Wealth Associate you provide support to financial advisors and other employees executing and overseeing account transfers and asset movements with accuracy and efficiency. You enjoy working cross-functionally with other lines of business in the organization, and you take this as an opportunity to build long lasting relationships with all individuals. You have the ability to prioritize projects, resolve problems, and pay attention to detail. Most importantly, this role is about building trust through every interaction and doing it with integrity, caring and excellence in mind.

What you’ll do:

• Execute and oversee account transfers and asset movements requiring licensed handling, including direct client interaction and regulatory compliance
• Process and track licensed transactions such as trades, distributions, and contributions across various asset classes
• Prepare and review investment documentation, disclosures, and compliance materials for advisor and client meetings
• Maintain accurate records for client communications, regulatory filings, and advisor correspondence
• Manage inventory of licensed materials and ensure compliance with industry standards in all distributed content
• Serve as a licensed liaison between clients and advisors, providing elevated support and guidance
• Always take action using Integrity, Caring, and Excellence to achieve all-win outcomes

What you’ll need:

• FINRA Series 7, 63, and 65 licenses or FINRA Series 7 and 66 licenses; or ability to obtain within 120 days of hire
• General Lines Agent License: Life, Accident, Health, and HMO Insurance; or ability to obtain within 120 days of hire
• Demonstrated ability to represent the wealth advisor and assist with financial transactions
• Strong understanding of investment products, compliance standards, and financial regulations
• Ability to manage sensitive client information and execute licensed transactions with accuracy and discretion
• Excellent written and verbal communication skills
• Proficiency in Microsoft computer applications

Our Benefits:

At Frost, we care about your health, your family, and your future and strive to have our benefits reflect that. This includes:

• Medical, dental, vision, long-term disability, and life insurance
• 401(k) matching
• Generous holiday and paid time off schedule
• Tuition reimbursement
• Extensive health and wellness programs, including our Employee Assistance Program
• Referral bonus program + more!

Since 1868, Frost has dedicated their expertise to provide exceptional banking, investment, and insurance services to businesses and individuals throughout Texas. Frost is one of the 50 largest U.S. banks by asset size and is a leader in banking customer satisfaction. At Frost, it’s about being part of something bigger. If this sounds like you, we encourage you to apply and see what’s possible at Frost.