Client Services Principal

Client Services Principal Hybrid – Mesa, AZ | $75,000 Why This Role is for You Join a growing wealth management organization where your operational expertise and leadership will make a direct impact. This is a high‑visibility opportunity for an experienced financial services professional who enjoys solving complex problems, handling escalations, and serving as a trusted operational expert within a Broker‑Dealer and RIA environment. You’ll work closely with leadership, help drive operational improvements, and play a key role in maintaining strong service and compliance standards across the organization. Compensation & Benefits $75,000 base salary 10% annual incentive bonus Hybrid schedule – Fridays remote 18 PTO days + 11 paid holidays Strong benefits package Long‑term career growth opportunity What You’ll Be Doing Review and approve complex client and account documentation for regulatory accuracy and operational completeness Handle escalated NIGO issues and help resolve high‑level operational exceptions Partner with advisors, legal, and compliance teams on complex servicing matters Oversee signature guarantee and operational forms processes Create reporting and identify opportunities for operational improvements Support department initiatives, process enhancements, and strategic projects Serve as a resource and mentor for team members on operational and compliance‑related matters What We’re Looking For Active Series 7 and Series 24 licenses REQUIRED Active Series 63 or 66 REQUIRED 5+ years of Broker‑Dealer or RIA operations experience Strong principal review and operational oversight experience Deep understanding of FINRA and SEC regulations Experience handling complex account documentation and escalations Strong communication, analytical, and problem‑solving skills Ability to operate independently in a fast‑paced environment Ideal Backgrounds Broker‑Dealer Operations Wealth Management Operations Client Services Operations Operations Supervision New Accounts Review Compliance Operations MOHR Talent is an equal‑opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at View email address on click.appcast.io. #J-18808-Ljbffr MOHR Talent