Registered Client Service Asscicate

About the Role

Registered Client Service Associates provide exceptional service to clients and support Financial Advisors (FAs), Private Wealth Advisors (PWAs), or teams daily. This role focuses on building trusted relationships through client interactions and assisting clients with their everyday needs. A client-first mindset is essential.

Key Responsibilities

CLIENT SUPPORT

• Support FAs/PWAs/teams in cultivating and enhancing new and existing client relationships.
• Execute money movement transactions as requested.
• Answer general, non-investment related questions concerning client accounts, including relaying stock positions and providing account balances.
• Enter profile information or pre-fill account documentation 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, collecting client information and required documentation.
• Provide existing clients with details about their account information (e.g., investment objectives, risk tolerance).
• Accept or enter unsolicited orders and/or enter solicited orders at the direction of the FA/PWA/team.
• Support 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, special projects, and other duties as directed.

ADMINISTRATIVE SUPPORT

• Answer inbound phone calls and make outbound calls with updates on service requests.
• Manage calendars, including coordinating meetings or events with logistics such as material prep.
• 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

• Active Series 7 (GS), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA).
• Knowledge of financial services products including equities, bonds, options, mutual funds, annuities, insurance, and managed accounts.
• Advanced Microsoft Office skills (Word, Excel, Outlook, PowerPoint).
• Digital tools: MSOnline, eSign, eAuthorization.

Qualifications

EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS

• High School Diploma/Equivalency.
• 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 able to multitask.
• Goal-oriented, self-motivated, and results-driven.

Note: Applicants must be legally authorized to work in the United States and will not require future sponsorship for employment visa status.