Registered Client Service Associate

About the Role

The Registered Client Service Associate is a full-time, on-site role based in Westport, CT. The associate supports financial advisors by delivering high-quality client service, including responding to client inquiries, processing account transactions, and assisting with onboarding and documentation.

Key Responsibilities

• Prepare reports and presentations.
• Maintain accurate client records.
• Coordinate meetings and communications to ensure a consistent client experience.
• Liaise with internal departments on operational and service issues.
• Track follow-ups.
• Help ensure compliance with firm policies and regulatory requirements.
• Proactively identify process improvements.
• Support special projects as needed.

Requirements & Tech Stack

• Proficiency with office productivity tools and CRM or client management systems.

Qualifications

• Strong client services and customer service skills, with a focus on building trusted relationships and delivering a high-quality experience.
• Experience in customer support and handling inquiries, issues, and requests in a professional and timely manner.
• Excellent communication skills, including clear verbal and written communication with clients and internal partners.
• Foundational knowledge of finance and investment concepts, with the ability to learn and apply firm products and services.
• FINRA registration (e.g., Series 7 and 63 or equivalent) or ability to obtain registration within required time frames.
• Strong organizational and time-management skills, with attention to detail and accuracy in documentation and reporting.
• Ability to work collaboratively within a team environment and uphold high ethical and professional standards.
• Prior experience in wealth management, banking, or a financial services environment is preferred.
• Associate or bachelor’s degree in finance, business, or a related field is beneficial.