Senior Registered Service Assistant

Senior Registered Service Assistant

The Senior Registered Service Assistant (SRSA) is a dedicated practice partner to a top-producing Financial Advisor managing a high-volume and high-net-worth client base. The SRSA is an experienced, credentialed professional operating as a true extension of the advisor owing the client experience, driving practice efficiency, and executing trades and service with precision across a complex and sophisticated book of business.

The SRSA is the primary operational and relational anchor for the advisor's practice, managing complex client relationships with discretion, executing trades as directed or authorized, and ensuring the advisor's time is protected and focused on high-value activities. The SRSA has deep investment product knowledge, a client-first mindset, and the ability to move quickly and accurately across service, operational, and trading responsibilities with minimal supervision.

Strict adherence to all applicable regulatory requirements and internal policies (FINRA, SEC, NCUA, AZDOI, etc.) is essential and non-negotiable in this role.

Administrative, Operational & Practice Management Leadership

Assumes full ownership of operational workflows for a high-volume, advisor practice that ensures every client interaction, transaction, and service request is executed efficiently and accurately.

Executes trade order entry and support, complex account servicing, money movement, CRM maintenance, and end-to-end resolution of operational issues.

Proactively identifies workflow gaps, implements process improvements, and coordinates across internal teams and external partners to keep the practice running at full capacity.

Client Relationship Management & Advisor Partnership

Serves as the primary relationship contact for high-net-worth clients, delivering a high-touch, concierge-level service experience that reinforces trust, loyalty, and long-term retention.

Proactively manages client communication, meeting preparation, portfolio review coordination, and follow-up across a sophisticated and demanding client base.

Acts as a true practice partner to the Financial Advisor, anticipating needs, shielding advisor time, and ensuring every client interaction reflects the highest standard of care.

Supports business development activities, referral management, and client events to help the advisor grow and deepen the book of business.

High-Volume Communication & Service Execution

Manages a high volume of inbound and outbound client communications with urgency, accuracy, and professionalism befitting our clientele.

Effectively triages service requests and trading inquiries, resolves issues independently whenever possible, and escalates appropriately.

Maintains proactive and consistent outreach to ensure no client or advisor need goes unmet.

Perform other job-related duties as assigned.

High School Diploma or GED required.

Bachelor's degree in Business, Finance or related field preferred.

5+ years of Wealth Management or Investment Services experience supporting Financial Advisors, including experience in high-volume or high-producing practices required.

5+ years of Client Relationship Management experience working with affluent or high-net-worth clients in a fast-paced, service-driven environment required.

Exceptional client relationship management skills with the ability to deliver high-touch service and build trust with affluent and high-net-worth clients. – Advanced – Required required.

Strong ability to prioritize, manage competing demands, and operate effectively in a high-volume, fast-paced environment required.

Demonstrate ability to operate independently, exercise sound judgment, and resolve complex issues with minimal supervision. strong attention to detail and organizational skills. required.

Advanced understanding of investment and insurance products required.

Proactive mindset with the ability to anticipate advisor and client needs and take initiative to drive outcomes ability to effectively prioritize and execute tasks while under pressure required.

Strong team commitment; ability to work effectively independently and in various team environments required.

Series 7 required.

Series 66 or Series 63 & Series 65 (combination) required.

AZ Life/Health Insurance License required.

We are proud to be an EEO/AA employer M/F/D/V. We maintain a drug-free workplace and perform pre-employment substance abuse testing.