Client Service Associate

About the Role

The Client Service Associate role supports the advisory team by managing essential operational workflows and client service tasks. This position ensures the smooth preparation and follow-up of client meetings, processes trades and transactions accurately, and maintains compliance standards. The associate contributes to the team’s effectiveness by handling business processing functions that directly impact client satisfaction and organizational efficiency.

Key Responsibilities

• Prepare and follow up on client meetings by creating agendas, taking notes, and tracking action items.
• Manage operational workflows to ensure accuracy and efficiency in client transactions.
• Support and process trades while adhering to regulatory and policy compliance.
• Maintain regulatory compliance and obtain required licenses within six months if not already held.
• Collaborate with internal teams to optimize processes and improve client service.

Requirements & Tech Stack

• Experience in financial services operations, client service, or a related area.
• Strong organizational skills to manage multiple tasks and deadlines.
• Effective communication skills and reliable follow-through on assignments.
• Familiarity with financial transactions, trading, and compliance requirements.
• Current required licenses (Series 7, 66, Life and Health) or willingness to obtain them within six months.
• Proficiency with CRM systems, financial platforms, and remote collaboration tools.

Qualifications

• Experience in financial services operations, client service, or a related area.
• Strong organizational skills to manage multiple tasks and deadlines.
• Effective communication skills and reliable follow-through on assignments.
• Familiarity with financial transactions, trading, and compliance requirements.
• Current required licenses (Series 7, 66, Life and Health) or willingness to obtain them within six months.
• Proficiency with CRM systems, financial platforms, and remote collaboration tools.