Client Service Representative
Listed on 2026-02-13
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Finance & Banking
Client Service Representative Broker-Dealer / Wealth & Investment Management Position Summary
The Client Service Representative supports financial advisors and operations teams by delivering high-quality service to clients and ensuring accurate, timely processing of account and transaction activity. This role serves as a key point of coordination between advisors, custodians, compliance, and back-office operations in a regulated broker-dealer or wealth management environment.
Key Responsibilities- Serve as primary service contact for assigned advisors and their clients
- Process account openings, maintenance requests, transfers (ACATs), and money movement transactions
- Prepare and review new account documentation for completeness and compliance
- Coordinate with custodians and clearing firms to resolve service issues
- Monitor account activity and elevate exceptions as appropriate
- Support client onboarding documentation and follow-up requirements
- Maintain accurate client records in CRM and internal systems
- Ensure adherence to FINRA, SEC, and firm compliance requirements
- Respond to service inquiries with professionalism and urgency
- 2+ years of experience in broker-dealer, RIA, or wealth management operations
- Strong understanding of account opening, transfers, and brokerage processes
- Experience working with custodians (Schwab, Fidelity, Pershing, etc.) preferred
- Knowledge of FINRA-regulated environments
- Series 7 and/or 63/66 preferred but not required (depending on structure)
- Strong organizational skills and attention to detail
- Ability to manage multiple priorities in a deadline-driven environment
MOHR Talent is an equal-opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at
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