Assistant Jobs

About The Position

Requirements

• 2–4 years of experience in financial services, client service, or advisor support environments (broker-dealer, custody, or wealth management preferred)
• Series 7 license required or ability to obtain within a defined timeframe; Series 63/66 preferred
• Demonstrated ability to deliver high-quality service in a fast-paced, client-facing role
• Working knowledge of financial products, markets, and basic investment concepts
• Strong problem-solving skills with the ability to assess issues, determine appropriate actions, and follow through to resolution
• Excellent verbal and written communication skills, with the ability to build trust and explain complex topics clearly
• Proven ability to manage multiple priorities, meet deadlines, and maintain attention to detail
• Comfort operating in structured, regulated environments with defined processes and escalation requirements
• Proficiency with technology platforms and tools; experience with Salesforce Service Cloud or similar CRM/case management platforms preferred
• Ability to work effectively both independently and as part of a team in a collaborative environment
• Strong organizational skills and commitment to accuracy, documentation, and process discipline
• Demonstrated adaptability and willingness to learn new systems, products, and workflows
• Client-centric mindset with a focus on delivering a professional, empathetic, and solutions-oriented experience
• Bachelor’s degree required or equivalent relevant experience

Nice To Haves

• Prior experience supporting RIA clients or working within a custody or clearing platform
• Familiarity with omni-channel service models (phone, email, chat, digital portals)
• Exposure to case management, workflow automation, or AI-enabled service environments
• Demonstrated interest in continuous improvement, process optimization, and client experience innovation

Responsibilities

• Serve as a front-line point of contact for RIA partners, handling inbound service inquiries via phone, email, and digital channels
• Deliver timely, accurate, and high-quality resolution to client requests, including account servicing, transaction processing, and general inquiries
• Execute financial transactions and service requests across asset classes (e.g., equities, mutual funds, fixed income, cash movements), ensuring accuracy and compliance
• Triage and resolve service issues independently where appropriate, escalating complex or sensitive matters to specialized teams (e.g., Trading, Operations, Compliance) as needed
• Provide clear, concise communication to clients throughout the lifecycle of a request, ensuring transparency and confidence
• Support onboarding, account maintenance, and documentation workflows in alignment with regulatory and operational requirements
• Leverage Salesforce Service Cloud (and related tools) to create, manage, and update cases; ensure accurate documentation of all client interactions
• Contribute to effective case management, including adherence to service level agreements (SLAs), escalation protocols, and follow-through
• Collaborate with internal partners across operations, product, and technology to support end-to-end service delivery
• Identify trends, recurring issues, and opportunities for process improvement; provide feedback to leadership to enhance service quality and efficiency
• Support adoption of digital and self-service tools by guiding advisors and clients through available capabilities
• Participate in team initiatives focused on continuous improvement, operational excellence, and client experience enhancement

Benefits

• retirement savings plan (401K) with company match
• insurance coverage including basic life, medical, dental, vision, long-term disability, and other optional additional coverages
• paid-time off including vacation, sick leave, short term disability, and family care responsibilities
• access to our Employee Assistance Program
• incentive compensation including eligibility for annual performance-based awards
• eligibility for certain tax advantaged savings plans
• inclusive development opportunities
• flexible work-life support
• paid volunteer days
• vibrant employee networks