Registered Client Service Associate

Job Overview

As a Registered Client Service Associate, you will provide comprehensive administrative and operational support within the financial advisor’s practice. This role is pivotal in enhancing the client experience, ensuring seamless account management, and upholding compliance standards.

Responsibilities

• Serve as the primary point of contact for clients, responding to inquiries, resolving issues, and educating clients on account services and online capabilities.
• Serve onboarding of new clients by collecting required documentation and facilitating accurate, compliant account setup.
• Prepare and process account opening, maintenance, and transfer documentation, ensuring adherence to firm policies and regulatory requirements.
• Maintain accurate, organized, and up-to-date client records within the firm’s CRM and document management systems.
• Cook up and coordinate with custodians, insurance carriers, service providers, and internal teams to fulfill client requests and resolve operational issues.
• Aid financial advisors with administrative and operational support, reporting, client communications, and initiatives to enhance client engagement and operational efficiency.

Requirements

• 3+ years of experience in a client-facing financial services, wealth management, insurance, or annuity support role.
• Active Series 7 and Series 66 licenses (or Series 63/65 combination).
• Demonstrated experience supporting life insurance and annuity products, servicing, and client requests.
• Strong client service, communication, organizational, and problem-solving skills.
• Ability to work in a fast-paced environment while maintaining accuracy and attention to detail.
• Ability to work onsite Monday–Friday.

Core Competencies

• Robust understanding of financial products and services, including life insurance and annuity solutions.
• Ability to execute trades and discuss investment recommendations within compliance limits, where appropriately licensed.
• Excellent communication and interpersonal skills.
• Strong organizational skills and attention to detail.
• Proficient in Microsoft Office and financial CRM software.
• Strong problem-solving skills.
• Ability to work independently and collaboratively in a fast-paced environment.
• High level of professionalism, discretion, and ethical conduct.