Senior Client Associate

Senior Licensed Client Service Associate needed for a busy team in a growing broker dealer

This role is ideal for a seasoned client service professional who thrives in a fast-paced environment, enjoys supporting Financial Advisors and trading activities, and has extensive experience managing sophisticated client relationships and complex account structures.

• Serve as the primary operational support partner to Financial Advisors and the trading desk
• Manage complex client account structures, including trusts, entities, retirement accounts, and high-net-worth relationships
• Support trading activity, account maintenance, cash movements, transfers, and operational requests
• Process new account openings and ensure all documentation is complete and compliant
• Coordinate with custodians and internal departments to resolve operational issues and deliver exceptional client service
• Utilize NetX
  360 to support account administration, reporting, and daily operational activities
• Maintain a thorough understanding of regulatory requirements and firm policies while ensuring accurate documentation and recordkeeping

• 5+ years of client service or securities operations experience within a broker-dealer, RIA, or wealth management firm
• Active FINRA Series 7 and Series 63, 65, or 66 licenses required
• Strong experience supporting Financial Advisors and trading activities
• Experience working with complex client account structures and high-net-worth clients
• Proficiency with NetX
  360 is required
• FLuent in both Spanish and English
• Exceptional organizational, communication, and relationship management skills
• Ability to prioritize multiple responsibilities while maintaining a high level of accuracy and client service