Client Service Associate - Licensed
About The Position
A well-established financial services firm in Cincinnati is seeking an experienced Senior Client Service Specialist to support Financial Advisors and deliver high-touch client experience. This role is integral to day-to-day client operations, combining administrative precision, regulatory awareness, and strong interpersonal skills. The Senior Client Service Specialist serves as a key point of contact for clients, manages account-related processes from start to finish, and partners closely with advisors to ensure timely, accurate service. This position requires appropriate FINRA and state registrations, including a Series 7 and Series 66 (or other acceptable combination) .
Requirements
- Self-directed, proactive, and highly detail-oriented
- Able to manage multiple priorities in a fast-paced environment
- Strong commitment to delivering an exceptional client experience
- Professional, mature demeanor with excellent judgment
- Bachelor’s degree in business or a related field preferred
- Minimum of 5+ years of administrative experience in a professional office environment
- 4+ years of experience in financial services or banking strongly preferred
- Series 7 required
- Series 66 required (or other acceptable registration combination, such as Series 63 and Series 65)
- Proficiency in Microsoft Office and comfort working with databases and financial software
- Prior experience using a CRM system, preferably RedTail
- Strong written and verbal communication skills
- Excellent organizational, time management, and problem-solving abilities
- Ability to work collaboratively in a team-oriented environment
- Strong interpersonal skills with the ability to interact professionally with clients, vendors, and colleagues
- Solid understanding of the financial planning process and the broader financial services industry
- Interest in continuous improvement and enhancing client service processes
Responsibilities
- Prepare and process documentation for new accounts, asset transfers, distributions, and account maintenance
- Meet with clients to review paperwork and obtain required signatures
- Place trades (buy/sell) and ensure accurate completion of required documentation
- Establish and manage client online access to account platforms and financial tools
- Monitor accounts for withdrawals, insufficient funds, required minimum distributions (RMDs), and outgoing transfers
- Review CRM dashboards daily to identify and resolve outstanding items
- Handle client requests including ACH instructions, deposits, withdrawals, cost basis inquiries, and tax-related questions
- Communicate proactively with Financial Advisors regarding account activity, changes, and trades
- Document all client interactions and account actions in the CRM system
- Utilize proprietary and industry financial planning software and tools
- Build and maintain strong, ongoing client relationships through regular communication
- Collaborate with support staff on document preparation, client reception, scanning, and phone coverage
- Ensure compliance with industry regulations and remain current on regulatory changes
- Assist with planning and attending periodic client events
- Perform other duties as assigned
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
