Job Description
Job DescriptionClient Service & Operations Associate (FINRA Series 7 & 63 Required)
This role serves as a key liaison between wealth management clients and internal advisory teams, ensuring exceptional service delivery and operational excellence. Responsibilities include onboarding new clients, educating them on recommended financial solutions, and partnering with advisors to address service requests promptly and accurately.
The position requires proactive communication of client goals, feedback, and needs to internal teams, while collaborating across departments to maintain efficiency and ensure full compliance with FINRA, SEC, and Broker Dealer regulations.
Key Responsibilities:
-Act as primary point of contact for client service needs and solution support
-Lead onboarding and education of new clients
-Ensure timely resolution of inquiries and service requests
-Communicate client objectives and feedback to advisory teams
-Maintain compliance with regulatory and broker-dealer requirements
-Collaborate with colleagues to optimize workflows and reporting accuracy
Qualifications & Skills:
-5+ years of financial industry experience in lieu of degree
-Bachelor’s degree preferred (or equivalent experience)
-FINRA Series 7 & 63 (required or ability to obtain within 6 months)
-Strong written and verbal communication skills
-Proficiency in Microsoft Office, CRM systems, and web-based platforms
-Detail-oriented with strong multitasking and problem-solving abilities
-Professional presence and commitment to team goals
-Solid understanding of financial terminology and industry concepts
Equal Opportunity Employer / Disabled / Protected Veterans
The Know Your Rights poster is available here:
https://www.eeoc.gov/sites/default/files/2023-06/22-088_EEOC_KnowYourRi…
The pay transparency policy is available here:
https://www.dol.gov/sites/dolgov/files/ofccp/pdf/pay-transp_%20English_…
For temporary assignments lasting 13 weeks or longer, the Company is pleased to offer major medical, dental, vision, 401k and any statutory sick pay where required.
We are committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please contact your staffing representative who will reach out to our HR team.
AppleOne participates in the E-Verify program in certain locations as required by law. Learn more about the E-Verify program.
https://e-verify.uscis.gov/web/media/resourcesContents/E-Verify_Partici…
We also consider for employment qualified applicants regardless of criminal histories, consistent with legal requirements, including, if applicable, the City of Los Angeles’ Fair Chance Initiative for Hiring Ordinance. Pursuant to applicable state and municipal Fair Chance Laws and Ordinances, we will consider for employment-qualified applicants with arrest and conviction records, including, if applicable, the San Francisco Fair Chance Ordinance. For Los Angeles, CA applicants: Qualified applications with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act.
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Company DescriptionThis company offers growth and a great group of people to work with.
Company Description
This company offers growth and a great group of people to work with.