Client Service Associate; Wealth Management

Job Title: Client Service Associate, Investment and Insurance Support

Employment Type: Full-Time

Work Arrangement: In office or hybrid, depending on experience

Our client is a thriving Hybrid RIA and Broker-Dealer operating within the Avantax Cetera ecosystem. The firm is seeking a detail-oriented Client Service Associate to support investment account servicing, client service operations, and insurance underwriting workflows.

This role is ideal for a junior to early mid-level professional with experience in wealth management operations, investment account servicing, or life insurance processing who is looking to build a long-term career within wealth management.

The position will work closely with senior team members and provide day-to-day support across investment account administration, client servicing needs, documentation, and insurance processing. Investment and account servicing responsibilities are the primary focus, with insurance support serving as a complementary function.

• Support account openings, maintenance, ACAT transfers, and service requests
• Prepare and process client paperwork for new accounts and ongoing servicing needs
• Coordinate with custodians and internal team members on account-related workflows
• Assist with account updates, documentation tracking, and service follow-through
• Support money movement requests and ensure proper processing and documentation
• Maintain accurate and organized client records related to investment accounts
• Assist with preparation of client meeting materials and provide administrative support to advisors
• Track open service items to ensure timely completion and a strong client experience

• Serve as a point of contact for client service requests related to investment accounts and insurance
• Respond to general servicing inquiries and ensure appropriate follow-up
• Maintain organized and up-to-date client records and files
• Support internal team members with follow-ups, tracking, and documentation
• Communicate professionally with clients and vendors to ensure smooth workflow completion

• Support the life insurance underwriting process from application through policy issuance
• Prepare, submit, and track insurance applications and underwriting requirements
• Order medical exams, labs, APS, and other underwriting requirements
• Follow up with carriers, clients, and third-party vendors to ensure timely completion
• Maintain accurate underwriting status and documentation
• Communicate with clients regarding outstanding requirements and next steps

• 1 to 3 years of experience in wealth management operations and client service, including at least 1 year of experience with investments and insurance processing
• Exposure to life insurance underwriting workflows strongly preferred;
  Experience working with carriers, medical exams, and underwriting requirements is a plus
• Strong organizational skills and attention to detail
• Positive, team-oriented attitude with strong professional communication skills when interacting with clients, colleagues, and external partners
• Ability to manage multiple priorities and follow established processes consistently
• Interest in building a long-term career within wealth management

• Bachelor’s degree preferred but not required with relevant experience
• Life and Health insurance license is a plus, or willingness to obtain after hire

• Stable, full-time opportunity within a growing RIA managing over $300 million in AUM
• Meaningful exposure to investment account and insurance servicing and wealth management operations
• Training and mentorship from experienced professionals
• Collaborative and supportive team environment
• Competitive base salary with annual bonus potential
• Profit sharing eligibility
• 401(k) with employer match

Keywords: ACAT transfers, account maintenance, account openings, account servicing, advisor support, Avantax, broker-dealer support, Cetera, client documentation, client service associate, custodial coordination, financial services operations, hybrid RIA, insurance underwriting support, investment account administration, life insurance processing, money movement processing, new account paperwork, RIA operations, wealth management operations