Registered Client Associate (Wealth Management)

An independent financial services practice is seeking to expand its client service team. The ideal candidate will have experience in client services and branch-level operations, with a strong understanding of the financial services industry-particularly fee-based and retail brokerage accounts.

Responsibilities :

Provide knowledge and support to Partners in all aspects of client service, including client meeting preparation, case review / input, and operational support

Work with clients to open new accounts and guide them through the paperwork process

Follow up on all client account transfers and report progress to the appropriate Financial Advisor

Solicit and enter client trade orders as appropriate and allowed

Answer non-advice-related client service issues using available internal resources

Review and respond promptly and professionally to electronic correspondence and client concerns

Review and respond daily / as needed to Action Items and Work Items in Smart Station

Establish and maintain detailed client contact and service records in the practice's contact management system

Assist in the data maintenance of the practice's portfolio management system

Prepare client forms and reports from rough drafts as requested by the firm' Partners

Prepare custom consolidated reports and submit to a Qualified Supervisor for pre-approval

Ensure proper disposal and appropriate handling of all outdated or unnecessary client information

Perform cashiering and physical securities processing functions; serve as back-up for all branch cashiering duties

Process order errors and corrections as appropriate

Assist with the training of new employees

Requirements : Bachelor's degree

4+ years of experience in brokerage and client services

Experience within finance, accounting, insurance, banking, law, or a related field required

FINRA Series 7 required

Excellent verbal, written, and interpersonal communication skills; well-spoken both on the phone and in person

Extraordinary client service orientation with experience interacting with clients

Highly organized with strong planning, multi-tasking, and follow-up skills

Detail-oriented with a demonstrated commitment to accuracy and high-quality work

Self-motivated with the ability to work independently and collaboratively under direction

Ability prioritizing work, meeting deadlines, and achieving goals

Proficient in Microsoft Office Suite (Word, Excel, Outlook, PowerPoint); willingness to learn new technologies

Experience with SmartStation or similar platforms within a broker-dealer environment strongly preferred

The firm offers a salary ranging from $100,000 to $150,000, commensurate with experience, qualifications, and other job-related factors. The total compensation package also includes a comprehensive benefits plan.