Registered Client Service Associate – Wealth Management

About the role

An independent wealth management firm is seeking an experienced Registered Client Service Associate to provide high-level operational and relationship-management support to Financial Advisors and their clients. This position requires active FINRA licensing and substantial experience managing brokerage and advisory account activity.

Responsibilities

• Serve as a primary contact for clients regarding account administration and routine service needs.
• Support Advisors with all aspects of client relationship management.
• Open and maintain brokerage, advisory, retirement, and trust accounts.
• Execute and process securities transactions in accordance with firm and regulatory requirements.
• Process ACAT transfers, distributions, deposits, wires, journals, beneficiary changes, and other money-movement requests.
• Review client documentation for completeness and accuracy.
• Coordinate directly with custodians to resolve account restrictions, exceptions, and service issues.
• Prepare client meeting materials, performance reports, and investment-review packages.
• Maintain complete and accurate records within CRM, custodial, and portfolio-management systems.
• Monitor outstanding requests and ensure timely completion.
• Follow FINRA requirements, internal controls, privacy standards, and client-confidentiality procedures.

Requirements

• Minimum of five years of direct wealth management client-service or advisor-support experience.
• Current, active FINRA Series 7 license.
• Current, active FINRA Series 66 license. A combination of Series 63 and 65 may be considered only if it fully satisfies the firm’s registration requirements.
• Experience supporting Financial Advisors, Wealth Advisors, or Private Wealth teams.
• Experience must come from an RIA, broker-dealer, private wealth firm, investment advisory firm, or wealth management division of a bank.
• Hands-on experience with brokerage and advisory account opening and maintenance.
• Hands-on experience processing securities transactions.
• Hands-on experience with ACAT transfers, distributions, wires, journals, money movement, beneficiary changes, and retirement-account documentation.
• Working knowledge of FINRA requirements and investment-account operational controls.
• Willing and able to work 100% in-office in Bloomington, Minnesota.
• Strong client-facing communication, organization, accuracy, and discretion.