Registered Client Service Associate- Bethesda, MD

Job Summary

Registered Client Service Associate – Supports financial advisors and their prospective and existing clients, and other branch staff team members. This role provides high-quality administrative support to advisors in a fast-paced, task-oriented environment.

• Serve as the first point of contact for a high volume of client interactions across phone, email, in-person, virtual, and mail.
• Onboard new clients, open new accounts, and research client and security information using internal databases and technologies.
• Maintain key client information and documentation in compliance with firm and industry requirements, rules, and regulations.
• Process and monitor transfer of assets, ensuring receipts and correct cost basis.
• Monitor available cash and run weekly cash and cash‑equivalent reports, contacting clients about investment opportunities.
• Review, assess, and respond to corporate action items and client account alerts.
• Prepare financial reports, spreadsheets, and other materials for client meetings.
• Enter orders and rebalance portfolios on behalf of financial advisors.
• Create and maintain records and files using Client Relationship Management (CRM) software.
• Assist financial advisors with marketing efforts such as seminars and client‑facing events.
• Engage in training, cross‑training, and professional development opportunities.
• Perform other duties as assigned.

• Understanding of company structure, policies, mission, and strategies.
• Experience with managed account platforms and general office practices.
• Proficiency with trade terminology and client‑relationship management software.
• Experience with goal‑planning software and Excel for developing and reporting spreadsheets.
• Effective communication across multiple platforms (in‑person, virtual, phone, mail).
• Ability to operate standard office equipment and required software applications.
• Strong analytical, research, and problem‑solving skills.
• Excellent time‑management and prioritization in a fast‑paced environment.
• High level of customer service and conflict resolution skills.
• Interpersonal ability to communicate with all organizational levels physically and virtually.
• Capability to work independently and as part of a cohesive team.

High School Diploma or equivalent. One (1) or more years of securities‑industry or related work experience preferred, or an equivalent combination of experience, education and training acceptable.

• Securities Industry Essentials (SIE) – required (unless exempt or grandfathered).
• Series 7 – required.
• Series 63, 65, and/or 66 as required by state.

$55,000.00 – $75,000.00 per year.

Less than 25%.

Resident (office‑based).

Eligible for a comprehensive benefits package that may include medical, dental, and vision, life insurance, critical illness and accident insurance, disability benefits, retirement savings, paid time off (vacation, holidays, and sick leave), and parental leave. Specific offerings vary by position and employment status.

The Company is an equal‑opportunity employer and makes all employment decisions on the basis of merit and business needs.