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)/ teams on a daily basis. Through regular interactions with clients, individuals in this role build trusted relationships. Leading with a client-first mindset, a successful candidate will have strong interpersonal skills and will be able 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 the calendar 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

Education and/or Experience

• High School Diploma/Equivalency.
• College degree preferred.
• Active Series 7 (GS), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA).
• Two or more years of industry experience preferred.

Knowledge/Skills

• Knowledge of financial services products, including but not limited to equities, bonds, options, mutual funds, annuities, insurance, and managed accounts.
• Detail-oriented with superior organizational skills and ability to prioritize.
• Advanced Microsoft Office skills (Word, Excel, Outlook, and PowerPoint).
• 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.