Only passionate people apply.

Client One is a leader in the hybrid, small broker-dealer market. Our reputation and distinctive advisors have consistently grown. We’re perpetually growing our offerings and services to help our advisors reach their potential.

If you’re looking for an exciting career opportunity and to become a valuable employee in our brokerage office, look no further.


Registration and Commissions Specialist

Position Summary:

The Registration and Commissions admin is responsible for licensing and registration with regulatory bodies for advisors and registered representatives joining Client One Securities. This position includes responsibility for maintaining the commission accounting system and processing commissions due.

Duties and Responsibilities include, but are not limited to:

  • Process commissions due to advisors and registered representatives.
  • Create commission payout reports.
  • Answer commission questions from advisors and registered representatives.
  • Facilitate licensing for new and existing advisors and registered representatives.
  • Initiate background and any other necessary regulatory checks.
  • Oversee variable annuity appointments with various insurance carriers.
  • Set up new advisors and registered representatives on internal/external systems.
  • Maintain procedure manual
  • Primary backup to Registration and Commissions Manager

Critical skills sought:

  • Ability to multi-task and stay organized handling multiple projects at once.
  • Willingness to learn and contribute to organizational growth.
  • Team player.
  • Detail oriented.
  • Enjoy working with a variety of people.
  • A proactive and a problem solver.
  • Strong phone skills and ability to teach processes.

Preferred Qualifications/Experience:

  • Experience working inside of a broker dealer.
  • Excel experience required.
  • Must be able to pass a CRD, background, and credit check.
  • Experience in Xtiva, BRAC’s or similar commission accounting system a bonus.
  • Proficient in various computer applications, including Microsoft Office Suite.

This description covers the major purpose and major functions of the job.  It is not intended to give all details or a step by step account of the way each task is to be performed.  Employees may receive other job related instructions and be required to perform other job related duties requested by their supervisor.  All requirements are subject to possible modification to provide reasonable accommodation to qualified individuals with disabilities.

Application Form

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