Senior Registered Client Service Specialist

Senior Registered Client Service Specialist

Lead with Purpose. Partner with Impact. CDWM offers personalized financial planning and wealth management for families, corporate executives, closely held businesses, people in transition and not-for-profit institutions. The culture is collaborative and is reflected in the nature of client relationships and directly stems from the mutual respect for those within the firm. The relationships with clients are the most important aspect of the business, and we strive to make every relationship a personal one.

CD Wealth Management in Dallas, TX, named among Dallas Business Journal's Best Places to Work in North Texas, recognized in Barron's Top Financial Advisors & Forbes Best-In-State Wealth Advisors has engaged us to place another Senior Registered Client Service Specialist on the team. The SRCSS will report to the Chief Investment Officer and is critical to appropriately leveraging the Advisors’ time.

This position utilizes excellent customer service and problem-solving skills to confidently provide information and education to clients in a timely, efficient, and professional manner. The ideal candidate will have the ability to take their experience and simply transition over to a new company with new processing. If you have relevant experience in the financial services industry, with specific experience in operations, onboarding or client services capacity, we welcome you to apply!

Active Series 7 certification is required in addition to Series 63 and/or Series 66 certification. This is a fully on-site role.

• Prepare and follow up on client meetings, including paperwork, reports, and documentation
• Manage client requests for processing, service, and problem resolution while maintaining compliance standards
• Partner with Broker Dealer for new account setup, maintenance, and compliance
• Process and service account paperwork and trading requests (equities and mutual funds)
• Assist with consolidated performance reporting on a monthly/quarterly basis
• Maintain CRM database and ensure adherence to client service models
• Manage multiple priorities in a fast-paced environment, exercising sound judgement, attention to detail, and proactive approach to problem-solving.
• Anticipate advisor and client needs, proactively identifying opportunities to improve service efficiency and the overall client experience.
• Perform additional responsibilities and special projects as assigned by advisors supporting firm-wide operational excellence.

• 3–5 years in financial services (operations, onboarding, or client service)
• Bachelor’s degree in a business-related field preferred
• Licenses:
  Active Series 7 required;
  Series 63 and/or Series 66 required
• Strong written and verbal communication
• Excellent organizational and problem-solving abilities
  
  Tech-savvy with proficiency in Microsoft Office and trading platforms
• Ability to thrive in a fast-paced, team-oriented environment
• High attention to detail and confidentiality

• Associate

• Full-time

• Finance

Medical insurance

Vision insurance

401(k)