Finance Client Service Associate (Series 65 or 66 Required)

Job Description

Job Description

Position Summary

The Client Service Associate serves as a key member of our client service and operations team, acting as a primary liaison between clients and advisors. This individual plays a vital role in delivering an exceptional client experience, supporting relationship management efforts, maintaining accurate client data, and coordinating administrative and operational activities.

The ideal candidate is organized, proactive, personable, and thrives in a professional financial services environment. Experience with Charles Schwab custodial forms, policies, and procedures , as well as proficiency in Advyzon CRM and reporting systems , is highly desirable. Candidates holding an active Series 65 license are preferred.

Key Responsibilities

Client Relationship Management

• Serve as a primary point of contact for clients, ensuring a positive and responsive service experience.
• Build and maintain strong client relationships through proactive communication and personalized support.
• Assist clients with account-related inquiries, service requests, and scheduling needs.
• Foster trust and confidence through timely follow-up and attention to detail.

Client Liaison & Communication

• Coordinate communication between clients, advisors, custodians, including Charles Schwab, and other service providers.
• Schedule and prepare materials for client meetings and reviews.
• Manage incoming calls, emails, and correspondence in a professional and courteous manner.
• Ensure all client interactions are documented accurately within Advyzon CRM and other firm systems.

Data Reporting & Account Administration

• Generate client reports, portfolio summaries, performance reports, and operational reports utilizing Advyzon reporting tools.
• Maintain accurate client records and account information.
• Process and assist with account openings, transfers, beneficiary updates, money movements, and other account maintenance requests.
• Complete and review Charles Schwab forms for accuracy, completeness, and compliance with Schwab policies and procedures prior to submission.
• Support advisors with data collection, portfolio reporting, and preparation for client meetings.
• Monitor account administration workflows and follow up on pending custodian requests.

Organization & Operational Support

• Maintain organized electronic and physical client files.
• Track workflows and ensure timely completion of service requests.
• Assist with special projects, process improvements, and office initiatives.
• Support compliance efforts by maintaining accurate records and documentation.
• Adhere to firm, regulatory, and custodian policies and procedures.
• Maintain a working knowledge of Schwab custodial requirements and industry best practices.

Qualifications

Required

• 2+ years of client service, financial services, banking, wealth management, or professional office experience.
• Strong client relationship management skills.
• Exceptional verbal and written communication abilities.
• Experience preparing reports and working with detailed client data.
• Excellent organizational and time-management skills.
• High attention to detail and commitment to accuracy.
• Proficiency with Microsoft Office Suite, including Outlook, Excel, Word, and Teams.
• Ability to learn and navigate financial technology platforms and custodial systems.

Preferred

• Experience working in a Registered Investment Advisor (RIA), financial planning, wealth management, or investment services environment.
• Experience using Advyzon for CRM management, client reporting, portfolio accounting, and workflow tracking.
• Working knowledge of Charles Schwab custodial forms, account servicing procedures, and operational workflows .
• Understanding of investment accounts, retirement plans, and financial services terminology.
• Active Series 65 license

Desired Traits

The successful candidate will be:

• Client-focused and relationship-driven
• Professional, polished, and dependable
• Highly organized with strong follow-through
• Detail-oriented and process-minded
• A collaborative team player
• Comfortable managing multiple priorities in a fast-paced environment
• Skilled at navigating client service, operations, and custodial processes with accuracy and efficiency
• Committed to delivering a best-in-class client experience through proactive communication and exceptional service excellence

Benefits:

• Benefits include 85% employee health insurance (after one month), vision and long term disability insurance, and 3% 401k match after 3 months. 15 days PTO for the first 5 years, then 5 days more per year. One week paid paternity or maternity, all NYSE holidays.
• Free covered indoor attached parking garage

Express Employment Professionals has helped good companies find good people in West Palm Beach and the surrounding area! We serve various excellent employer companies to help them find the best employees.

Company Description

Express Employment Professionals has helped good companies find good people in West Palm Beach and the surrounding area! We serve various excellent employer companies to help them find the best employees.