Senior Registered Service Assistant

Senior Registered Service Assistant (SRSA)

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 who serves as a true extension of the advisor, driving client experience, practice efficiency, and executing trades and services 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.

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

• Assume 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.
• Execute trade order entry and support, complex account servicing, money movement, CRM maintenance, and end‑to‑end resolution of operational issues.
• Proactively identify workflow gaps, implement process improvements, and coordinate across internal teams and external partners to keep the practice running at full capacity.

• Serve 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 manage client communication, meeting preparation, portfolio review coordination, and follow‑up across a sophisticated and demanding client base.
• Act 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.
• Support business development activities, referral management, and client events to help the advisor grow and deepen the book of business.

• Manage a high volume of inbound and outbound client communications with urgency, accuracy, and professionalism befitting our clientele.
• Effectively triage service requests and trading inquiries, resolve issues independently whenever possible, and escalates appropriately.
• Maintain 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 (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.

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