Registered Client Service Associate

Key member of the Advisor support team, responsible for delivering an exceptional client experience while supporting the operational, administrative, and service needs of the practice.

Responsibilities

• Client Service & Relationship Support
  • Serve as a primary point of contact for client inquiries and service requests.
  • Deliver timely, professional, and proactive communication to clients.
  • Coordinate and track client service requests through completion.
  • Build trusted relationships by providing a high-quality and personalized client experience.
• Account Administration & Operations
  • Prepare and process new account paperwork, transfers, distributions, beneficiary changes, and account maintenance requests.
  • Open and maintain client accounts across custodial and advisory platforms.
  • Process money movement requests in accordance with compliance and firm procedures.
  • Monitor pending transactions and follow up with clients, custodians, and internal partners to ensure timely completion.
• Meeting Coordination & Follow-Up
  • Schedule client meetings and manage Advisor calendars as needed.
  • Prepare client review materials, reports, and meeting packets.
  • Document action items and ensure timely follow-up after meetings.
  • Support onboarding and implementation activities for new clients.
• Trading & Registration Support
  • Execute trades and account rebalancing activities in accordance with licensing requirements and firm procedures.
  • Assist Advisors with operational aspects of portfolio implementation.
  • Coordinate with custodians and vendors regarding account issues and transaction processing.
  • Maintain registration requirements and continuing education obligations.
• Compliance & Risk Management
  • Adhere to all regulatory requirements, firm policies, and compliance procedures.
  • Maintain records and documentation required by regulatory agencies and internal compliance standards.
  • Identify and escalate potential operational or compliance concerns promptly.
  • Support audits, reviews, and compliance reporting as requested.

Requirements

• Experience
  • 3+ years of experience in wealth management, financial services, or a related client service role
  • Experience supporting Advisors and high-net-worth clients
  • Experience with Schwab, Fidelity, Pershing, or other custodial platforms preferred
• Skills & Competencies
  • Strong organizational skills and attention to detail
  • Exceptional verbal and written communication skills
  • Client-focused with a commitment to delivering a best-in-class experience
  • Ownership mentality; anticipates needs, solves problems, and follows through without being asked
  • Adaptable and collaborative in a fast-paced team environment
  • Compliance awareness and commitment to confidentiality and professional standards
• Technology & Tools
  • Proficiency in Microsoft Office and CRM systems
  • Experience with Salesforce, Wealthbox, Orion, MoneyGuide, eMoney, DocuSign, or similar platforms preferred
  • Proficiency with AI tools such as Claude, ChatGPT, or Microsoft Copilot to improve productivity, communication, and workflow efficiency
• Education
  • Series 65 or Series 66 registration required
  • Bachelor's degree preferred; equivalent professional experience considered

About the Company

RFG Advisory is a platform for growth-minded Independent Advisors who want to scale without compromise. We're building the RIA of the Future—powered by innovation, collaboration, and execution. We take care of each other first. We show up with servant hearts and growth mindsets. We lead boldly, iterate to excellence, and commit to getting 1% better every day.

Pay

Salary: $100,000-$110,000 plus a commission structure