Senior Registered Client Associate

Published: 6/14/2022

Job Description

SUMMARY

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.

Essential Duties and 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.

Supervisory Responsibilities

None.

Licenses and Qualifications

Required

· 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.

Knowledge, Skills, and Abilities

· 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.