Registered Client Service Associate - Raleigh, NC
Core
Provide comprehensive administrative and operational support within a financial advisor's practice, ensuring seamless account management and upholding compliance standards.
Role type
Senior Client Service Associate (Financial Services)
Builds
Client accounts, compliance documentation, and operational efficiency for wealth management practices
Domain
Financial Services / Wealth Management
Deliverable
client delivery
Required skills
Active Series 7 or Series 66 license, financial product knowledge, trade execution, CRM proficiency, regulatory compliance, client communication, documentation processing
Preferred skills
Bachelor's degree in finance/business/accounting, 3+ years in financial services client support
Technologies
Microsoft Office, Financial CRM systems
Responsibilities
Act as primary point of contact for clients, educate clients on account services, onboard new clients, process account documentation, monitor account activities, maintain client records, ensure regulatory adherence, prepare audit reports, coordinate with custodians, assist advisors with administrative tasks
Seniority
Mid-level, hands-on IC