Build a Meaningful Career in Wealth Management
At Regency, we invest in people who bring discipline and insight to their work. You'll find mentorship, real responsibility, and the chance to grow alongside professionals who understand markets and value integrity.
Our Core Values
Regency was built on the conviction that financial excellence serves a larger purpose. We manage wealth with discipline and transparency, guided by the belief that sound stewardship creates the freedom to live generously.
Empathy
We seek to understand the unique needs, goals, and concerns of our clients so we can serve them with care and compassion.
Integrity
We do what is right, even when it is difficult, holding ourselves to the highest ethical & fiduciary standards.
Honesty
We communicate truthfully and openly, fostering client trust through clear and candid conversations.
Open Positions
Find the role that matches your skills and ambitions.
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Investment Trader & Research Analyst
Regency Wealth Management is seeking a highly detail-oriented and analytical Investment Trader & Research Analyst to support the firm's portfolio management and investment operations. This role is responsible for the accurate and timely execution of trades through Envestnet Tamarac, portfolio maintenance, rebalancing activities, tax-efficient trading strategies, and investment research.
The position is structured with approximately 80% of time dedicated to trading and portfolio operations and 20% dedicated to investment research and analysis. The ideal candidate combines strong technical trading skills with intellectual curiosity, a passion for markets, and a commitment to fiduciary excellence.
- Ramsey, NJ (On-site)
- Full-Time
About Us
Regency Wealth Management is an independent Registered Investment Advisor dedicated to simplifying complex financial lives. We provide wealth management, investment management, and financial planning services to high-net-worth individuals, families, and institutions. Our culture emphasizes fiduciary excellence, teamwork, continuous learning, and exceptional client service.
Apply NowPrimary Responsibilities
Trading & Portfolio Operations (80%)
Trade Execution
- Execute equity, ETF, mutual fund, fixed income, and alternative investment trades through Tamarac and custodian trading platforms.
- Ensure timely and accurate trade placement, monitoring, and completion.
- Review and resolve trade exceptions, restrictions, and reconciliation issues.
- Coordinate trade execution across client accounts to maintain fairness and consistency.
Rebalancing & Portfolio Maintenance
- Monitor Tamarac alerts and rebalance recommendations.
- Implement model changes and rebalance portfolios in accordance with firm investment policies.
- Support tax-efficient portfolio management initiatives, including tax-loss harvesting and gain management.
- Review client accounts for model drift, cash management needs, and allocation consistency.
- Analyze portfolio dispersion across client accounts and identify corrective actions.
Investment Operations
- Maintain and update investment models within Tamarac.
- Assist with trading-related compliance reviews and documentation.
- Support account onboarding and transition activities.
- Monitor corporate actions, security restrictions, and special handling instructions.
- Collaborate with advisors and operations staff to address portfolio management requests.
Investment Research & Analysis (20%)
Manager & Security Research
- Conduct research on mutual funds, ETFs, SMA managers, alternative investments, and individual securities.
- Analyze investment performance, risk metrics, holdings, expenses, and manager characteristics.
- Prepare investment due diligence reports and recommendations.
Asset Allocation & Portfolio Analysis
- Assist with strategic and tactical asset allocation research.
- Evaluate market trends, economic conditions, and investment themes.
- Support investment committee initiatives and portfolio reviews.
- Monitor existing investment solutions and identify potential enhancements.
Reporting & Communication
- Prepare research summaries, investment commentary, and presentation materials.
- Contribute analysis for investment committee meetings.
- Maintain research files and investment due diligence documentation.
- Present findings to advisors and leadership when appropriate.
Knowledge, Skills & Abilities
Required
- Strong understanding of financial markets and investment products.
- Experience with portfolio rebalancing and trading systems.
- Exceptional attention to detail and accuracy.
- Strong analytical and problem-solving skills.
- Excellent written and verbal communication skills.
- Ability to manage multiple priorities and deadlines.
- Advanced Microsoft Excel skills.
- Commitment to fiduciary best practices and client-first decision making.
Preferred
- Experience using Envestnet Tamarac.
- Experience with Fidelity Wealthscape, AdvisorEngine CRM, eMoney,Ycharts, and Morningstar.
- Knowledge of tax-aware trading strategies and tax-loss harvesting.
- Experience conducting manager research and due diligence.
- Familiarity with model portfolio management.
Education & Experience
Required
- Bachelor’s degree in Finance, Economics, Accounting, Business, or related field.
- 2+ years of experience in investment operations, portfolio administration, trading, or investment research.
Preferred
- 2+ years of experience in an RIA, family office, wealth management firm, or institutional investment environment.
- Progress toward or completion of CFA, CFP, CIMA, or similar designation.
Success Measures
The successful candidate will:
- Execute trades accurately and efficiently with minimal exceptions.
- Maintain portfolio allocations consistent with firm investment models.
- Support scalable trading and rebalancing processes.
- Deliver high-quality investment research and due diligence.
- Contribute meaningful insights to the firm’s investment committee.
- Help improve portfolio management processes through technology and automation.
- Demonstrate a strong understanding of client portfolios, investment strategies, and market developments.
Compensation Structure
- Base Salary: Competitive and commensurate with experience.
- Annual Bonus: Linked to trading accuracy, operational efficiency, research contributions, and overall firm growth.
- Eligible for retirement, health, and other firm benefits.
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Client Service Associate
The Client Service Associate (CSA) is responsible for delivering a high-quality client experience while supporting financial advisors with day-to-day operations, account management, and administrative functions. This role serves as a key point of contact for clients and ensures the accurate and efficient execution of all service-related activities.
This position is ideal for a detail-oriented, proactive professional who thrives in a fast-paced, team-oriented wealth management environment.
- Ramsey, NJ (On-site)
- Full-Time
About Us
Regency Wealth Management is an independent Registered Investment Advisor dedicated to simplifying complex financial lives. We provide wealth management, investment management, and financial planning services to high-net-worth individuals, families, and institutions. Our culture emphasizes fiduciary excellence, teamwork, continuous learning, and exceptional client service.
Apply NowKey Responsibilities
Client Service & Relationship Management
- Serve as the primary point of contact for client inquiries via phone and email
- Provide timely, professional responses and proactive follow-up
- Schedule and coordinate client meetings and communications
- Maintain detailed documentation of all client interactions in CRM systems
Account Management & Operations
- Support new client onboarding and account maintenance processes
- Process transactions including wires, ACHs, transfers, deposits, and distributions
- Assist with money movement, including RMDs and other client requests
- Coordinate with custodians (e.g., Fidelity, Schwab) to resolve service issues
- Track and maintain transaction activity and client records
Workflow & Data Management
- Maintain accurate and organized client files and documentation
- Manage and track daily service workflows to ensure timely completion
- Identify and escalate issues proactively while collaborating with advisors
- Ensure data integrity within CRM and reporting systems
Meeting Preparation & Reporting
- Prepare client meeting materials, including performance reports and account summaries
- Coordinate report delivery and follow-up actions
- Assist with financial planning and reporting tools as needed
Team & Firm Support
- Assist with operational projects and process improvement initiatives
- Support marketing, communications, and firm events when needed
- Contribute to team meetings and collaborative initiatives
- Provide general office and administrative support
Qualifications
- 2+ years of experience in wealth management, financial services, or client service preferred
- Bachelor’s degree in Finance, Business, or a related field preferred
- Familiarity with custodial platforms (Fidelity experience preferred)
- Experience with CRM systems (e.g., AdvisorEngine, Salesforce) and financial tools (e.g., eMoney, Tamarac)
- Proficiency in Microsoft Office Suite
Core Competencies
- Strong organizational skills and attention to detail
- Excellent written and verbal communication
- Ability to manage multiple priorities and meet deadlines
- Proactive, solution-oriented mindset with strong follow-through
- High level of professionalism and client service orientation
- Collaborative team player
Why Join Us
- Opportunity to work in a growing, high-performing wealth management firm
- Exposure to all aspects of client service and operations
- Clear path for long-term career growth
- Collaborative, team-driven culture focused on excellence
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