Registered Client Service Associate

The Registered Client Service Associate serves as the first point of contact handling a high volume of client interactions via phone, in-person, virtually, and through mailings. They onboard new clients, open accounts, and research client and security information in internal databases. Responsibilities include ensuring documentation meets firm/regulatory requirements, processing asset transfers, monitoring cash awaiting investment, generating weekly cash reports, contacting clients about investment opportunities, reviewing corporate action items and client account alerts, preparing financial reports and spreadsheets for client meetings, inputting orders and portfolio rebalances for Financial Advisors, and maintaining CRM records. The role supports Financial Advisors with marketing efforts and client-facing events, participates in training and professional development, and performs other duties as assigned. Key skills include effective multi-platform communication, CRM software proficiency, Excel/spreadsheet development, data organization, adapting to changing priorities, client service excellence, problem solving, and teamwork. Education and licenses: High School Diploma or equivalent; FINRA registrations including SIE, Series 7, and state as required (63/65/66); travel up to 25%. The position emphasizes compliance with firm and industry policies and ongoing professional development.