Registered Client Service Associate

About This Role

As a Registered Client Service Associate, you will provide exceptional service to clients and support Financial/Private Wealth Advisors daily, building trusted relationships with a client-first mindset. This role involves assisting clients with their everyday needs and contributing to the team's success.

Responsibilities

• Provide service coverage for an FA/PWA/team, supporting client relationships
• Execute money movement transactions at the client and/or FA/PWA/team's request
• Answer general non-investment questions about client accounts, including stock positions and account balances
• Enter profile information or pre-fill account documentation in a clerical capacity
• Educate or enroll clients in digital tools like MSOnline, eSign, eAuthorization
• Onboard and maintain client accounts, including collecting client information and documentation
• Provide existing clients with details around their account information
• Accept or enter unsolicited orders and/or enter solicited orders in a clerical capacity at the direction of the FA/PWA/team
• Support the FAs/PWAs/teams’ marketing strategy, including website maintenance
• Assist FAs/PWAs/teams in delivering against their business plan and client service model
• Remain current on all policies, procedures, and new platforms
• Participate in firm initiatives, special projects, and other duties directed by local management
• Answer inbound phone calls or make outbound calls with updates on service requests
• Manage the calendar, including coordinating meetings or events and preparing materials
• Maintain travel itineraries, prepare expense reports, and manage the reimbursement process
• Assist with general in-office support functions such as copying, filing, and scanning documentation
• Prepare and submit expense reports for processing at the direction of the FA/PWA

Requirements

• Active Series 7 (GS), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA)
• Knowledge of financial services products (equities, bonds, options, mutual funds, annuities, insurance, managed accounts)
• Detail-oriented with superior organizational skills and ability to prioritize
• Advanced Microsoft Office skills (Word, Excel, Outlook and PowerPoint)
• Exceptional writing, interpersonal and client service skills
• Strong time management skills
• Team player with the ability to collaborate with others
• Ability to work in a fast-paced, evolving environment
• Adaptable and ability to multitask
• Goal oriented, self-motivated and results driven

Qualifications

• High School Diploma/Equivalency, College degree preferred
• Two or more years of industry experience preferred

Skills

* Required skills