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.