Registered Client Service Associate
About The Position
The Registered Client Service Associate provides dedicated support to financial advisors by preparing portfolio materials for client meetings, helping build financial plans, and managing client interactions to retain and develop relationships. The role supports clients’ personalized experience and helps advisors deliver financial planning and advice. This position assists with financial plans, investment research, trades and transactions; coordinates client meetings and follow-up; prepares and tracks new business and insurance paperwork; coordinates marketing events and related compliance documentation; and performs general administrative duties. The role is full-time and requires employees to work in the office at least four days per week, with flexibility to work from home one day per week. Some roles may have different or additional in-office expectations.
Requirements
- Bachelor’s degree or equivalent.
- 3–5 years of relevant experience.
- Series 7, or ability to obtain it within 150 days.
- State securities agent registration (S63 or S66), or ability to obtain it within 150 days.
- State IAR registration (S65 or S66), or ability to obtain it within 150 days.
- Life, Accident, and Health licenses and Variable Contracts, or ability to obtain them within 150 days.
- Experience working in a client service environment.
- Detail-oriented, with strong math and analytical skills.
- Good organization and time-management skills; able to manage multiple priorities and prioritize effectively.
- Able to work independently with minimal supervision.
- Able to communicate with all levels within the organization.
- Process-oriented and able to work with a team.
- Strong computer and software skills.
- Must have valid U.S. work authorization that does not require visa sponsorship now or in the future.
Responsibilities
- Assist advisors in servicing clients, including preparing financial plans, conducting investment research, and completing trades and transactions.
- Schedule and confirm client meetings; enter data into the contact manager; prepare meeting agendas and summaries; escort clients to advisors; and provide follow-up.
- Prepare new business paperwork, obtain signatures, submit documentation to the home office, track insurance applications, and coordinate rollovers.
- Prepare for and coordinate marketing events, including crafting marketing compliance documentation and managing event marketing reimbursement.
- Perform general administrative duties, including answering the advisor’s phone, processing expense management reports, preparing routine client correspondence, supporting closes, setting up client files, copying, and handling new business correspondence and alerts.
Benefits
- Vacation time
- Sick time
- 401(k)
- Health insurance
- Dental insurance
- Life insurance
- Some roles may be eligible for variable pay such as bonuses, commissions, and/or long-term incentives.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
