Senior Registered Service Assistant
HybridPhoenix, Arizona, United States
Job Summary
Execute trade order entry, manage complex account servicing, and oversee end-to-end resolution of operational issues for a high-volume, high-net-worth advisor practice. Serve as the primary relationship contact for affluent clients, coordinating portfolio reviews, meeting preparation, and follow-up while shielding the advisor for high-value activities. Proactively identify workflow gaps, implement process improvements, and triage service requests with urgency and accuracy. Maintain full regulatory compliance with FINRA, SEC, and state requirements. Requires Series 7, Series 66/63/65, AZ Life/Health license, and 5+ years of wealth management experience supporting high-producing advisors.
Required Qualifications
- High School Diploma or GED
- 5+ years of Wealth Management or Investment Services experience supporting Financial Advisors, including experience in high-volume or high-producing practices
- 5+ years of Client Relationship Management experience working with affluent or high-net-worth clients in a fast-paced, service-driven environment
- Exceptional client relationship management skills with the ability to deliver high-touch service and build trust with affluent and high-net-worth clients
- Strong ability to prioritize, manage competing demands, and operate effectively in a high-volume, fast-paced environment
- Demonstrate ability to operate independently, exercise sound judgment, and resolve complex issues with minimal supervision
- Strong attention to detail and organizational skills
- Advanced understanding of investment and insurance products
- Proactive mindset with the ability to anticipate advisor and client needs and take initiative to drive outcomes
- Strong team commitment; ability to work effectively independently and in various team environments
- Series 7
- Series 66 or Series 63 & Series 65 (combination)
- AZ Life/Health Insurance License
- Strict adherence to all applicable regulatory requirements and internal policies (FINRA, SEC, NCUA, AZDOI, etc.)
Desired Qualifications
- Bachelor's degree in Business, Finance or related field
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