Senior Registered Client Associate

A private wealth management firm is seeking a Senior Registered Client Associate to support Financial Advisors and their clients. This position requires investment knowledge, sound judgment, and the ability to manage client requests and transaction activity within a regulated environment.

Responsibilities

• Serve as a primary point of contact for client service and account-related requests.


• Support Financial Advisors with daily client coverage, portfolio administration, and investment-related activity.


• Process securities transactions and confirm that accounts are properly funded.


• Monitor holdings, cash balances, income payments, maturities, and corporate actions.


• Review account activity and documentation for accuracy, completeness, and regulatory compliance.


• Coordinate account openings, maintenance requests, transfers, distributions, and other service needs.


• Prepare client materials, portfolio information, and investment-related documentation.


• Work with internal investment, operations, compliance, and product teams to resolve client matters.


• Identify potential service or compliance concerns and escalate them appropriately.


• Maintain organized and current client records.

Qualifications

• Active FINRA Series 7 license required.


• Fully bilingual in English and Spanish required.


• At least five years of experience supporting clients and Financial Advisors within private banking, wealth management, or a broker-dealer.


• Bachelor’s degree in Business, Finance, Economics, or a related field.


• Strong understanding of investment products, securities transactions, and account administration.


• Series 66 preferred.


• Strong communication, organization, follow-through, and client-service skills.


• Ability to handle sensitive information and competing priorities with accuracy and discretion.

Take the next step into a high-touch private wealth environment offering meaningful client exposure, strong compensation, and significant bonus potential. Apply today!