Senior Registered Client Associate

The Senior Registered Client Associate reports to the Managing Partners and plays a critical role in supporting Advisors and delivering an exceptional client experience. This position utilizes strong client service, communication, and problem-solving skills to provide timely, accurate, and professional support to clients and firm leadership. As a member of a small, independent wealth management firm, this individual will have the opportunity to work closely with advisors, build meaningful client relationships, and make a direct impact on the success of the practice.

The position offers a hybrid/flexible work schedule.

• Assist in client meeting preparation and follow-up, including assembling paperwork, report generation, appointment scheduling, and post-meeting documentation
• Manage client service requests, account maintenance, and problem resolution in a timely and accurate manner while adhering to compliance standards
• Partner with the broker-dealer on new account establishment, account maintenance, operations, and compliance matters
• Process, submit, and service account paperwork and requests through completion utilizing paperless procedures, including eSignature when available
• Assist in preparation of consolidated performance reporting on a monthly and quarterly basis
• Maintain CRM database and ensure client records are current and accurate
• Support the firm's client service model and operational processes
• Manage multiple priorities and deadlines while maintaining a high level of organization and attention to detail
• Identify opportunities to enhance efficiency and improve the client experience
• Other responsibilities as assigned by the Managing Partners

None.

• SIE, Series 7, and Series 63 licenses (63/65 or 66 preferred)
• Prior experience in a registered client service, wealth management, or financial services support role
• Strong understanding of account processing, client service, and compliance requirements

• Advanced computer skills, including Outlook, Word, Excel, and Power Point
• Excellent verbal and written communication skills
• Strong organizational and time management abilities
• Ability to work independently and effectively manage multiple priorities
• Strong attention to detail and follow-through
• Ability to build relationships with clients and business partners while delivering a high level of service
• Professional, team-oriented mindset with a commitment to client satisfaction