Bilingual Senior Client Services Associate

The Senior Client Services Associate – FINRA Licensed is a senior-level client service and operational support role responsible for managing complex client service matters, coordinating account maintenance and onboarding workflows, supporting the Wealth Management team, and serving as an experienced point of escalation for client-facing and back-office matters. This position requires strong relationship management skills, advanced knowledge of brokerage and investment account processes, high attention to regulatory requirements, and active FINRA registrations.

The role is expected to exercise sound judgment, maintain strict confidentiality, and ensure that client instructions, documentation, account changes, service requests, and securities-related support activities are handled accurately, timely, and in accordance with applicable policies and supervisory procedures.

• Act as a senior point of contact for high-complexity client service requests, account maintenance issues, operational escalations, and follow-up matters for the Wealth Management team.
• Process, review, and coordinate client paperwork, applications, maintenance forms, account opening documentation, address changes, beneficiary updates, transfer requests, and other documentation required to support client business transactions.
• Support registered Wealth Management professionals with securities-related service activities within the scope permitted by the employee’s licenses, registrations, firm policies, and supervisory procedures.
• Assist with the preparation, review, and follow-up of client reports, service dashboards, operational trackers, and documentation status reports to support timely resolution of pending matters.
• Maintain CRM software and contact management records, ensuring client profiles, service notes, pending items, follow-up dates, and interaction histories are accurate and current.
• Coordinate with internal departments, custodians, platforms, compliance, operations, and supervisory personnel to resolve client service, account administration, and documentation matters.
• Monitor client service issues and new business transactions in progress, identify delays or exceptions, and report status updates to the Wealth Management team and appropriate management personnel.
• Apply working knowledge of investment products, brokerage account structures, operational workflows, and regulatory considerations to support accurate and compliant service delivery.
• Exercise judgment when handling client inquiries and elevate advisory, discretionary, suitability, complaint, trading, or compliance-sensitive matters to the appropriate registered or supervisory personnel.
• Support onboarding, training, and knowledge-sharing for junior client service personnel, including guidance on workflow standards, documentation quality, service protocols, and operational best practices.
• Protect confidential client and business information and comply with applicable internal policies, information security requirements, and document retention practices.
• Perform other related duties and special projects as assigned.

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and ability required for a senior client service role in a regulated financial services environment.

• Bachelor's degree in Finance, Business Administration, Economics, Accounting, or a related field required; equivalent relevant experience may be considered where appropriate.
• Minimum of 5 to 7 years of experience in financial services, wealth management, brokerage operations, client service,…