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. Through regular interactions, this role builds trusted relationships. 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 FAs/PWAs/teams 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/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 about 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 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.

Qualifications

• 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 able to multitask.

• Goal-oriented, self-motivated, and results-driven.