Registered Client Service Associate

Key Responsibilities

• Support Financial Advisors with client follow-ups, scheduling, meeting prep, and service requests
• Prepare and process new account paperwork, account updates, ACAT transfers, distributions, money movement, and beneficiary changes
• Maintain accurate CRM records, electronic client files, and service workflows
• Cook up with custodians and internal operations teams to resolve client service items
• Track pending paperwork, account requests, and follow-ups through completion
• Aid in client communication, documentation, and meeting materials
• Help deliver a professional, high-touch client experience

Requirements

• SIE, Series 7, Series 66, or Series 65 license
• Wealth management, brokerage, RIA, investment advisory, trust, or private banking experience
• Experience supporting Financial Advisors, Wealth Advisors, or client-facing investment teams
• Familiarity with custodial platforms such as Fidelity, Schwab, Pershing, or Raymond James
• Experience with account opening, transfers, money movement, distributions, and client paperwork
• Strong attention to detail, organization, communication, and follow-through

Qualifications

• High school diploma or equivalent
• At least 2 years of relevant experience in a financial services environment
• Proficiency in Microsoft Office Suite

Skills

• Excellent interpersonal and communication skills
• Strong organizational and time management skills
• Ability to work independently and as part of a team
• Attention to detail and accuracy in data entry and record keeping

Benefits

• Comprehensive health insurance
• 401(k) retirement plan with company match
• Flexible work schedule
• Professional development opportunities

Pay

• $70K–$85K annually

Schedule

• Full-time position

About the Role

The Registered Client Service Associate plays a crucial role in ensuring that clients receive the highest level of service from the firm’s Financial Advisors. This position requires a high degree of professionalism, attention to detail, and the ability to manage multiple tasks efficiently.