Registered Client Service Associate

Job Description

Job Description

Registered Client Service Associate – Wealth Management

Location: Hot Springs, Arkansas | On-Site

An established, client-focused wealth management firm in Hot Springs, Arkansas is seeking an experienced Registered Client Service Associate to support its financial advisors and provide exceptional service to its clients.

This role is ideal for someone who understands the pace, precision, confidentiality, and client expectations of a wealth management environment. The Registered Client Service Associate will serve as an important point of contact for clients while supporting advisors with account administration, client onboarding, service requests, documentation, and day-to-day practice operations.

The ideal candidate will already hold an active Series 65 license and have experience working within wealth management, financial planning, investment management, an RIA, broker-dealer, bank, or similar financial services environment.

Key Responsibilities

• Serve as a responsive and professional point of contact for existing and prospective clients by phone, email, and in person.
• Support financial advisors with day-to-day client service and administrative needs.
• Coordinate new-client onboarding and account-opening activities.
• Prepare and process account documentation, forms, and service requests.
• Assist with account maintenance, beneficiary changes, distributions, transfers, and other client requests.
• Track pending items and proactively follow up with clients, advisors, custodians, and internal partners to ensure timely completion.
• Prepare materials and documentation for client meetings.
• Maintain accurate client information, notes, records, and activity within the firm's CRM and account-management systems.
• Work with custodians and outside partners to resolve account or service-related issues.
• Handle confidential financial and personal information with a high level of discretion.
• Ensure documentation and client activity are completed in accordance with firm procedures and applicable regulatory requirements.
• Anticipate client and advisor needs and help create an organized, high-touch client experience.

Required Qualifications

• Active Series 65 license required.
• Previous experience in wealth management, investment management, financial planning, banking, brokerage, or a related financial-services environment.
• Experience providing direct client service in a professional financial-services setting.
• Strong knowledge of client account servicing and financial-services terminology.
• Exceptional attention to detail and accuracy.
• Strong organizational and follow-through skills.
• Ability to manage multiple priorities and client requests simultaneously.
• Excellent written and verbal communication skills.
• Professional and polished client-facing presence.
• Strong judgment and discretion when handling confidential information.
• Comfortable working with CRM systems, account-management platforms, Microsoft Office, and other financial-services technology.

Preferred Experience

• Previous experience directly supporting financial advisors or wealth advisors.
• Experience within an RIA, broker-dealer, private wealth management firm, or financial advisory practice.
• Experience with account opening, transfers, money movement, distributions, beneficiary changes, and client onboarding.
• Experience working directly with custodians and investment platforms.
• Additional financial-services licenses or designations are a plus.

What Success Looks Like

The successful candidate will be someone clients trust and advisors can depend on. You are proactive rather than reactive, highly organized, comfortable taking ownership of client requests, and committed to making sure details do not fall through the cracks. You understand that exceptional wealth management is about more than investments; it is also about providing clients with responsive, accurate, and highly personalized service.