SIE, Series 7, and Series 66 Preferred or willing to obtain
Position Summary
The Client Service Associate plays a key role in delivering a highly professional, responsive, and relationship-driven client experience. This role supports a team of Financial Advisors and Wealth Management professionals by helping ensure clients feel valued, understood, and well-served in every interaction.
The ideal candidate is a polished communicator, collaborative teammate, and proactive problem solver who demonstrates strong emotional intelligence, sound judgment, discretion, and a client-first mindset. Success in this role requires the ability to build trust, manage competing priorities with composure, and contribute positively to a fast-paced, team-oriented environment.
While technical knowledge and industry experience are helpful, this role places strong emphasis on interpersonal skills, professionalism, adaptability, attention to detail, and a genuine commitment to service excellence.
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Key Responsibilities:
Client Experience and Relationship Support
• Serve as a welcoming, professional, and dependable point of contact for clients and internal partners.
• Build strong client relationships through consistent follow-up, active listening, empathy, and timely communication.
• Help create a seamless and positive client experience by anticipating needs and responding with urgency and care.
• Communicate clearly and professionally with clients regarding service requests, documentation, scheduling, and general account-related matters.
• Demonstrate discretion and sound judgment when handling sensitive client information and confidential matters.
• Help reinforce client confidence by ensuring requests are handled accurately, thoughtfully, and efficiently.
• Partner with the Financial Advisor team to support a consistent client service model and high standard of responsiveness.
Team Collaboration and Practice Support
• Work closely with Financial Advisors and team members to coordinate daily priorities, client requests, and follow-up items.
• Contribute to a collaborative team culture by communicating openly, staying organized, and supporting shared goals.
• Demonstrate flexibility and a willingness to assist wherever needed to help the team operate effectively.
• Maintain composure and professionalism when managing deadlines, shifting priorities, or time-sensitive client needs.
• Proactively identify potential issues, escalate matters appropriately, and help drive tasks to completion.
• Support a positive team environment through reliability, accountability, and a solutions-oriented mindset.
Administrative and Operational Excellence
• Manage client service workflows with strong attention to detail, organization, and follow-through.
• Prepare and coordinate client documentation, meeting materials, correspondence, and other service-related items.
• Track pending items and ensure timely completion of client and team requests.
• Assist with scheduling, calendar coordination, meeting logistics, digital tools, and general administrative needs.
• Maintain accurate client records and documentation in accordance with applicable policies and procedures.
• Help improve team efficiency by identifying opportunities to streamline processes and enhance organization.
• Remain adaptable and open to learning new systems, processes, and procedures.
Qualifications
Education and Experience
• High school diploma or equivalent required.
• Bachelor’s degree preferred.
• Prior experience in financial services, wealth management, banking, client service, hospitality, executive support, or administrative support preferred.
• Experience supporting a team-based practice or multiple professionals is a plus.
Licenses — Preferred
• Securities Industry Essentials — SIE preferred
• Series 7 — preferred
• Series 66 — preferred
• Series 63 and Series 65 may be considered in lieu of Series 66, depending on firm requirements.
Desired Soft Skills and Attributes
• Client-first mindset: Demonstrates genuine care for clients and a commitment to service excellence.
• Professional communication: Communicates clearly, respectfully, and confidently in person, by phone, and in writing.
• Emotional intelligence: Reads situations thoughtfully, responds with tact, and builds trust through strong interpersonal awareness.
• Reliability: Follows through on commitments and can be counted on by clients, advisors, and team members.
• Attention to detail: Produces accurate work and understands the importance of precision in client service.
• Strong judgment: Knows when to act independently, when to ask questions, and when to escalate matters.
• Adaptability: Adjusts effectively to changing priorities, new processes, and evolving team needs.
• Composure under pressure: Maintains professionalism in a fast-paced environment with competing deadlines.
• Collaboration: Works well with others and contributes to a positive, team-oriented culture.
• Ownership mentality: Takes initiative, identifies next steps, and drives tasks to resolution.
• Discretion: Handles confidential information with care and professionalism.
• Problem-solving orientation: Approaches challenges with curiosity, resourcefulness, and a constructive attitude.
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