Registered Client Service Associate
hace 21 horas
Cheshire
Registered Client Service Associate Location: Cheshire, CT Work Arrangement: In office, 5 days per week (possible flexibility to 4 days) Compensation Range: $80k to $100k base, DOE plus bonus Please note: While traditional medical benefits are not currently offered, the firm provides a generous monthly medical stipend to help support healthcare expenses. Our client is a boutique, independent wealth management firm known for its highly personalized approach to retirement and financial planning. The firm partners closely with individuals and families to bring clarity and confidence to their financial lives by thoughtfully aligning investment strategy, income planning, tax coordination, healthcare considerations, and legacy goals. Role Overview This is an excellent opportunity for a client service professional who enjoys being deeply involved, values strong relationships, and wants to play an important role within a small, collaborative advisory team. The Registered Client Service Associate serves as a trusted partner to both clients and advisors, ensuring every interaction is handled with care, accuracy, and follow-through. The role offers broad exposure across client service, operations, and planning support, making it ideal for someone who takes pride in being a steady, reliable presence for clients while supporting the smooth day-to-day operations of the firm. Key Responsibilities of the Registered Client Service Associate Client Relationship Management • Act as a primary point of contact for clients, providing thoughtful, responsive, and professional support, • Assist with onboarding new clients, guiding them through account setup and documentation with strong attention to detail, • Prepare materials for client review meetings so advisors and clients feel organized and well supported, • Maintain accurate, up-to-date client records within the CRM system Administrative and Compliance Support • Prepare and process account-related paperwork, including openings, transfers, distributions, and Roth conversions, • Support compliance requirements and documentation in alignment with regulatory standards, • Manage client correspondence across phone, email, and mail with a high level of professionalism Operational and Investment Support • Monitor client accounts, including cash balances, pending transactions, and routine maintenance, • Support trade execution and investment workflows as directed by advisors, • Assist with financial planning support by gathering data, updating planning tools, and reviewing outputs, • Work across the firm’s technology platforms, including CRM, financial planning, and reporting systems Business Development and Firm Support • Help prepare client-facing presentations and proposals, • Support marketing initiatives, client events, and referral activity, • Contribute to a positive, team-oriented environment where collaboration and accountability are valued Qualifications of the Registered Client Service Associate • 2 to 3 years of experience in a client service or operations role within a financial advisory or wealth management firm ; financial planning experience/exposure is preferred, • Series 7 or Series 6 and Series 63 or 66 required, • CFP designation is a plus, • Bachelor’s degree in Finance, Business, Economics, or a related field preferred, • Proficiency with financial planning software, CRM systems, and Microsoft Office, • Experience with any of the following software platforms is a plus: Asset-Map, Black Diamond (Client Portal and Performance Reporting), eMoney, Excel, Holistiplan (Tax Planning), Income Conductor (Retirement Income Planning), Salesforce CRM, • Genuine commitment to delivering exceptional client service, • Strong communication skills with a calm, professional presence, • Exceptional organizational and multitasking skills, with the ability to pivot and prioritize as needed while remaining thoughtful, composed, and client focused., • Interest in a long-term career in wealth management client service and or operations, • Comfort working closely with advisors, clients, and a small team, • Proactive, positive energy and clear passion for what you do! What Our Amazing Client Offers • A welcoming, close-knit team environment where relationships truly matter, with a culture that values integrity and collaboration, • Long-term stability within a growing independent advisory firm, • Tremendous opportunities for learning and growth in client service and operations as the firm continues to grow, • Profit sharing, 401(k) contribution, generous PTO, and a medical stipend to support healthcare expenses Keywords: account maintenance, account openings, ACATS, advisor support, Asset-Map, asset allocation, beneficiary updates, Black Diamond (Client Portal and Performance Reporting), brokerage accounts, client onboarding, client relationship management, client service associate, compliance documentation, CRM, custodial platforms, eMoney, Excel, Fidelity, financial planning support, high net worth clients, Holistiplan (Tax Planning), Income Conductor (Retirement Income Planning), investment account administration, investment operations, money movement, portfolio reporting, registered client service associate, retirement planning, RIA, Roth conversions, Salesforce CRM, Schwab, Series 6, Series 7, Series 63, Series 66, trade support, transaction processing, wealth management operations, wire transfers