Wealth Management Client Associate
About the role
The Pines Wealth Management (TPWM) is a Registered Investment Advisory (RIA) firm specializing in comprehensive financial planning and discretionary asset management for affluent individuals, companies, and institutions. TPWM focuses on goals-based planning for retirement, education, legacy, and all-encompassing financial life objectives. Advisors and Associates at TPWM help clients pursue and achieve their envisioned life through personal relationships committed to their needs, grounded in mutual trust and ongoing transparent dialogue. The firm assists clients with all aspects of their financial lives and is committed to value-based ethical growth with client needs always at the forefront of advice and decision-making.
TPWM supports a balanced work-life culture with specific requirements for office-based attendance while allowing flexibility based on individual needs, unique circumstances, and role-specific standards.
Position Summary
We are seeking a detail-oriented and client-focused Wealth Management Client Associate to support multiple financial advisors in a growing RIA firm. This role delivers a high level of service to clients, supports advisors with investment operations, and helps maintain efficient day-to-day workflow across the team. The ideal candidate will have strong operational experience in wealth management and hold an active securities license (Series 7 preferred).
Responsibilities
- Serve as a primary point of contact for client service needs
- Assist with account inquiries, service requests, and follow-up
- Coordinate client meetings and prepare meeting materials
- Maintain accurate client records and CRM updates
- Process account opening and maintenance paperwork through our custodian
- Facilitate ACAT transfers and money movement requests
- Track client service workflows and outstanding items
- Assist with SEC Compliance processes and documentation
- Contribute to improving operational efficiency
Preferred Skills
- Experience in Wealth Management Services (e.g., RIA, BD, WH)
- Proficiency in financial planning concepts
- Strong knowledge of account servicing and wealth management operations
- Ability to triage, prioritize, and manage competing priorities
- High attention to detail and organizational skills
- Professional communication and client service mindset
- Desire for long-term career growth in wealth management
Requirements
- Active Series 7 license (preferred)
- Series 66 license or willingness to obtain
- 3+ years of experience in wealth management and financial services
- College degree
Benefits
- Competitive base salary: $70,000+ (experience considered)
- Performance-based bonus opportunity
- Retirement plan and health benefits
- Paid time off and holidays
- Professional development and licensing support