Registered Client Service Associate
About The Position
Registered Client Service Associates provide exceptional service to clients and support Financial Advisors (FAs), Private Wealth Advisors (PWAs), and their teams. Through regular client interactions, they build trusted relationships and help clients with everyday needs, using a client-first approach and strong interpersonal skills. The role provides client and administrative support, including assisting with client relationships, account servicing, money movement transactions, account onboarding and maintenance, digital tools, order entry in a clerical capacity, team marketing efforts, and implementation of business plans and service models. It also includes managing calls and calendars, coordinating meetings and travel, preparing expense reports, and providing general in-office support. The position reports to the Business Service Officer. Applicants must be legally authorized to work in the United States and must not require employment visa sponsorship now or in the future.
Requirements
- High school diploma or equivalent.
- 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.
- Detail-oriented, with superior organizational skills and the ability to prioritize.
- Advanced Microsoft Office skills, including Word, Excel, Outlook, and PowerPoint.
- Exceptional writing, interpersonal, and client service skills.
- Strong time management skills.
- Ability to collaborate with others as a team player.
- Ability to work in a fast-paced, evolving environment.
- Adaptability and ability to multitask.
- Goal-oriented, self-motivated, and results-driven.
- Legally authorized to work in the United States without requiring employment visa sponsorship now or in the future.
Nice To Haves
- College degree preferred.
- Two or more years of industry experience preferred.
Responsibilities
- Support FAs, PWAs, and teams in cultivating and enhancing new and existing client relationships.
- Execute money movement transactions at the request of clients and/or the FA, PWA, or team.
- Answer general non-investment-related questions about client accounts, including relaying stock positions and providing account balances.
- Enter profile information or pre-fill client account documentation in a clerical capacity as directed by the client and/or the FA, PWA, or team.
- Educate or enroll clients in digital tools such as MSOnline, eSign, and eAuthorization.
- Onboard and maintain client accounts, including collecting client information and required documentation in a clerical capacity as directed.
- Provide existing clients with account information, including investment objectives and risk tolerance.
- Accept unsolicited orders and/or enter solicited orders in a clerical capacity as directed by the FA, PWA, or team.
- Support the FAs’, PWAs’, or teams’ marketing strategy, such as website maintenance.
- Assist FAs, PWAs, and teams in delivering their business plan and client service model.
- Remain current on policies, procedures, and new platforms.
- Participate in firm initiatives, training or education programs, special projects, and other duties directed by local management.
- Answer inbound calls and make outbound calls with updates on service requests, including scheduling follow-up calls as needed.
- Manage calendars and coordinate meetings or events, including preparing materials, maintaining agendas, and sending calendar invites with Zoom credentials.
- Maintain travel itineraries, prepare expense reports, and manage the reimbursement process.
- Assist with general in-office support, including copying, filing, and scanning documentation.
- Prepare and submit expense reports for processing as directed by the FA or PWA.
Benefits
- Comprehensive employee benefits and perks.
- Benefits and support for employees and their families throughout their work-life journey.
- Potential commission earnings, incentive compensation, discretionary bonuses, and other short- and long-term incentive packages, depending on the position.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
High school or GED
