Registered Client Service Associate

RFG Advisory•Sandy, UT

4d•$100,000 - $110,000

About The Position

The Registered Client Service Associate (RCSA) is a key member of the Advisor support team, responsible for delivering an exceptional client experience while supporting the operational, administrative, and service needs of the practice. This role serves as a primary point of contact for clients, coordinates account servicing activities, assists with meeting preparation and follow-up, and ensures the accurate execution of transactions and documentation.

Requirements

3+ years of experience in wealth management, financial services, or a related client service role
Experience supporting Advisors and high-net-worth clients
Strong organizational skills and attention to detail
Exceptional verbal and written communication skills
Client-focused with a commitment to delivering a best-in-class experience
Ownership mentality; anticipates needs, solves problems, and follows through without being asked
Adaptable and collaborative in a fast-paced team environment
Compliance awareness and commitment to confidentiality and professional standards
Proficiency in Microsoft Office and CRM systems
Series 65 or Series 66 registration required

Nice To Haves

Experience with Schwab, Fidelity, Pershing, or other custodial platforms preferred
Experience with Salesforce, Wealthbox, Orion, MoneyGuide, eMoney, DocuSign, or similar platforms preferred
Proficiency with AI tools such as Claude, ChatGPT, or Microsoft Copilot to improve productivity, communication, and workflow efficiency
Bachelor's degree preferred; equivalent professional experience considered

Responsibilities

Serve as a primary point of contact for client inquiries and service requests.
Deliver timely, professional, and proactive communication to clients.
Coordinate and track client service requests through completion.
Build trusted relationships by providing a high-quality and personalized client experience.
Prepare and process new account paperwork, transfers, distributions, beneficiary changes, and account maintenance requests.
Open and maintain client accounts across custodial and advisory platforms.
Process money movement requests in accordance with compliance and firm procedures.
Monitor pending transactions and follow up with clients, custodians, and internal partners to ensure timely completion.
Schedule client meetings and manage Advisor calendars as needed.
Prepare client review materials, reports, and meeting packets.
Document action items and ensure timely follow-up after meetings.
Support onboarding and implementation activities for new clients.
Execute trades and account rebalancing activities in accordance with licensing requirements and firm procedures.
Assist Advisors with operational aspects of portfolio implementation.
Coordinate with custodians and vendors regarding account issues and transaction processing.
Maintain registration requirements and continuing education obligations.
Adhere to all regulatory requirements, firm policies, and compliance procedures.
Maintain records and documentation required by regulatory agencies and internal compliance standards.
Identify and escalate potential operational or compliance concerns promptly.
Support audits, reviews, and compliance reporting as requested.