Senior Registered Client Associate

Kestra Financial Independent Advisor • Roswell, GA

9d • Hybrid

About The Position

The Senior Registered Client Associate reports to the Managing Partners and plays a critical role in supporting Advisors and delivering an exceptional client experience. This position utilizes strong client service, communication, and problem-solving skills to provide timely, accurate, and professional support to clients and firm leadership. As a member of a small, independent wealth management firm, this individual will have the opportunity to work closely with advisors, build meaningful client relationships, and make a direct impact on the success of the practice. The position offers a hybrid/flexible work schedule.

Requirements

• SIE, Series 7, and Series 63 licenses (63/65 or 66 preferred).
• Prior experience in a registered client service, wealth management, or financial services support role.
• Strong understanding of account processing, client service, and compliance requirements.
• Advanced computer skills, including Outlook, Word, Excel, and PowerPoint.
• Excellent verbal and written communication skills.
• Strong organizational and time management abilities.
• Ability to work independently and effectively manage multiple priorities.
• Strong attention to detail and follow-through.
• Ability to build relationships with clients and business partners while delivering a high level of service.
• Professional, team-oriented mindset with a commitment to client satisfaction.

Nice To Haves

• 63/65 or 66 licenses preferred

Responsibilities

• Assist in client meeting preparation and follow-up, including assembling paperwork, report generation, appointment scheduling, and post-meeting documentation.
• Manage client service requests, account maintenance, and problem resolution in a timely and accurate manner while adhering to compliance standards.
• Partner with the broker-dealer on new account establishment, account maintenance, operations, and compliance matters.
• Process, submit, and service account paperwork and requests through completion utilizing paperless procedures, including eSignature when available.
• Assist in preparation of consolidated performance reporting on a monthly and quarterly basis.
• Maintain CRM database and ensure client records are current and accurate.
• Support the firm's client service model and operational processes.
• Manage multiple priorities and deadlines while maintaining a high level of organization and attention to detail.
• Identify opportunities to enhance efficiency and improve the client experience.
• Other responsibilities as assigned by the Managing Partners.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed