Private Wealth Management Registered Client Service Associate

About the Role

Registered Client Service Associates provide exceptional service to clients and support Financial Advisors (FAs), Private Wealth Advisors (PWAs), or teams on a daily basis. Through regular interactions, this role builds trusted relationships with clients. A successful candidate will have a client-first mindset, strong interpersonal skills, and the ability to assist clients with their everyday needs.

Key Responsibilities

CLIENT SUPPORT

• Support the FA/PWA/team in cultivating and enhancing new and existing client relationships.
• Execute money movement transactions at the request of the client and/or FA/PWA/team.
• Answer general, non-investment related questions concerning client accounts, including relaying stock positions and providing account balances (e.g., funds due and margin debit).
• Enter profile information or pre-fill account documentation on client accounts and/or documents in a clerical capacity at the direction of the client and/or FA/PWA/team.
• Educate or enroll clients in digital tools (e.g., MSOnline, eSign, eAuthorization).
• Onboard and maintain client accounts, including collecting client information and required documentation in a clerical capacity at the direction of the client and/or FA/PWA/team.
• Provide existing clients with details around their account information (e.g., investment objectives, risk tolerance).
• Accept or enter unsolicited orders and/or enter solicited orders in a clerical capacity at the direction of the FA/PWA/team.
• Support the FAs/PWAs/teams’ marketing strategy (e.g., website maintenance).
• Assist FAs/PWAs/teams in delivering against their business plan and client service model.
• Remain current on all policies, procedures, and new platforms.
• Participate in firm initiatives (e.g., training or education programs), special projects, and/or other duties directed by local management.

ADMINISTRATIVE SUPPORT

• Answer inbound phone calls or make outbound calls with updates on service requests (e.g., scheduling follow-up calls with FAs/PWAs/teams as needed).
• Manage calendars, including coordinating meetings or events with logistics such as material prep (e.g., maintaining agendas, sending calendar invites with Zoom credentials).
• Maintain travel itineraries, prepare expense reports, and manage the reimbursement process.
• Assist with general in-office support functions such as copying, filing, and scanning documentation.
• Prepare and submit expense reports for processing at the direction of the FA/PWA.

Requirements & Tech Stack

• High School Diploma/Equivalency
• Active Series 7 (GS), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA)
• Knowledge of financial services products, including but not limited to equities, bonds, options, mutual funds, annuities, insurance, and managed accounts.
• Advanced Microsoft Office skills (Word, Excel, Outlook, and PowerPoint).

Qualifications

• College degree preferred.
• Two or more years of industry experience preferred.
• Detail-oriented with superior organizational skills and ability to prioritize.
• Exceptional writing, interpersonal, and client service skills.
• Strong time management skills.
• Team player with the ability to collaborate with others.
• Ability to work in a fast-paced, evolving environment.
• Adaptable and ability to multitask.
• Goal-oriented, self-motivated, and results-driven.