Customer Service Specialist; Financial Services

The Client Service Associate (CSA) provides administrative, operational, and client support to Financial Advisors within a broker-dealer environment. This role is responsible for servicing client accounts, processing transactions, and ensuring a high level of client satisfaction while maintaining compliance with firm and regulatory requirements.

Key Responsibilities

• Serve as a primary point of contact for clients regarding account inquiries, paperwork, and service requests
• Assist Financial Advisors with day-to-day administrative and operational support
• Prepare and process new account openings, transfers, maintenance requests, and required documentation
• Coordinate client onboarding and ensure all forms are completed accurately and in compliance with regulatory standards
• Process client transactions, including contributions, distributions, and account updates
• Maintain accurate client records within CRM and broker-dealer systems
• Support meeting preparation, including reports, statements, and presentation materials
• Monitor follow-ups and ensure timely resolution of client service issues
• Adhere to compliance, supervisory, and broker-dealer policies and procedures

Qualifications

• Bachelor’s degree preferred (or equivalent experience in financial services)
• 1–3+ years of experience in client service, operations, or administrative support within a broker-dealer, wire house, or RIA environment
• Strong attention to detail and organizational skills
• Professional communication skills, both written and verbal
• Ability to manage multiple priorities in a fast-paced environment