Job Description
As a Client Service Associate, you will work in lock-step with our Executive Client Account Manager and Managing Partner/Wealth Advisor to deliver seamless client experiences. Your role spans client onboarding and servicing, meeting preparation and follow-up, firm financial assistance, and office management — all performed with a high degree of independence and ownership.
The ideal candidate is an exceptional self-starter with a passion for details, organization, process, technology, and client relationships. You thrive both independently and as part of a tight-knit, high-performing team.
Licensing Requirements:
Active FINRA licensing is a strict requirement. Candidates must hold all of the following:
- Series 6 & Series 63/ Series 65— Active registration required.
- OR Series 7 & Series 66 — Active registration required.
- Clean U-4 — No disclosure events. Candidates with disclosure items will not be considered.
Please do not apply if you do not currently hold active Series 6 or 7, and a clean U-4. These are firm requirements and exceptions will not be made.
Key Responsibilities:
Client Service & Relationship Support
- Serve as one of two primary contacts for clients regarding account inquiries, scheduling, and service requests.
- Help the team prepare for client meetings, including updating reports, creating agendas, taking notes, and managing all follow-up items.
- Prepare account opening paperwork; open, transfer, and service client accounts.
- Coordinate money movements, RMDs, beneficiary updates, contributions, distributions, and general account maintenance.
Operations Support
- Maintain CRM records (Advisor Engine), track service workflows, and ensure action items are completed on time.
- Collaborate with the team to continuously improve systems, processes, and client service experiences.
- Send client invoices and manage incoming payments.
- Maintain office supplies, coordinate deliveries, and process mail.
Professional Qualifications
- Bachelor's degree required
- Minimum of 3 years of experience at an investment advisory firm, with demonstrated professional maturity and business acumen
- Proven experience opening and onboarding new advisory accounts
- Proficient in Microsoft Office Suite, with intermediate or advanced Excel skills
- Exceptional organizational skills with a keen attention to detail and high accuracy in data entry
- FINRA Series 7 and 63 or 65 license strongly preferred(Series 6 acceptable)
- Must maintain a clean record and successfully pass broker-dealer background screening
- Strong operational knowledge of the financial services industry
- Positive, self-motivated team player with a deep commitment to delivering exceptional client service