Registered Client Associate

Join a Growing Wealth Management Practice

Key Responsibilities

Client Service & Relationship Management

• Serve as the primary point of contact for incoming client calls and inquiries.
• Deliver exceptional service by responding promptly and professionally to client requests.
• Assist clients with account-related questions and service needs.
• Build and maintain strong client relationships through proactive communication and follow-up.

Account Administration

• Open and process new client accounts and associated documentation.
• Maintain and service client accounts.
• Process account updates, beneficiary changes, transfers, and other service requests.
• Ensure all documentation is accurate, complete, and compliant with team’s policies and industry regulations.

CRM & Client Data Management

• Maintain and update client records within Salesforce CRM.
• Update client profiles, contact information, financial data, and account records.
• Document client interactions and activities accurately.
• Maintain organized electronic records and workflows.

Operations & Trade Support

• Process client distributions and cash management requests.
• Place investment orders as authorized.
• Coordinate operational requests with custodians and internal support teams.
• Assist advisors with administrative and operational responsibilities.

Team & Practice Support

• Schedule client meetings and maintain advisor calendars.
• Prepare client correspondence, reports, presentations, and meeting materials.
• Collaborate with advisors and team members to deliver an exceptional client experience.
• Support business development and practice growth initiatives as needed.

Qualifications

Required

• Active FINRA Series 7 and Series 63 securities registrations
• 5+ years of experience as a Registered Sales Assistant, Client Associate, or in a comparable wealth management support role
• Strong proficiency with:
  • Salesforce CRM
  • Microsoft Word
  • Microsoft Excel
  • Microsoft Teams
• Excellent verbal and written communication skills
• Strong organizational and time management abilities
• Exceptional attention to detail and accuracy
• Ability to handle confidential information with professionalism and discretion
• Positive attitude and commitment to client service excellence

Preferred

• Series 65 registrations securities
• Experience with FactSet
• Wealth management or brokerage operations experience
• Experience supporting Financial Advisors and Wealth Management teams

Ideal Candidate

Compensation & Benefits

• Base Salary: $75,000 - $95,000 annually, based on experience and qualifications
• Performance-Based Bonus Opportunity
• Medical, Dental, and Vision Insurance
• 401(k) Retirement Plan with Company Match
• Paid Time Off and Paid Holidays
• Professional Development and Career Advancement Opportunities

Location

Reports To