Senior Registered Client Service Associate

At TalentWealth Recruiting, we partner with premier independent wealth management firms across the country to connect exceptional professionals with outstanding career opportunities. Our client, an established and highly respected independent wealth management firm located in Greensboro, NC, is seeking an experienced Senior Registered Client Services Associate to join its growing team.

About the Role

Position Summary The Senior Registered Client Service Associate provides high touch service to clients and experienced operational support to Financial Advisors. This role manages complex service requests, anticipates follow up needs, and helps keep account activity, documentation, and client communications accurate and timely. The associate serves as a resource for colleagues, improves service workflows, and resolves routine issues independently while escalating matters that require advisor, supervisory, or compliance review.

Essential Duties and Responsibilities:

Client Service and Advisor Support

• Act as a primary point of contact for an assigned group of clients and advisors; respond to inquiries, provide account information and quotes, track open requests, and follow through to resolution.
• Build trusted client relationships through proactive communication, prompt follow up, and careful handling of sensitive information and time critical requests.
• Coordinate client meetings and reviews by preparing materials, tracking action items, and working with advisors to complete subsequent service needs.
• Support the Financial Advisor with prospective client onboarding, ongoing relationship management, and marketing events or seminars.
• Prepare client letters, forms, reports, spreadsheets, and other materials; maintain accurate records, databases, and files.

Account Operations and Registered Activity

• Oversee account opening, maintenance, transfers, beneficiary updates, money movement, and other service requests from intake through completion; identify missing information and coordinate corrections.
• Research client, account, and security information using back office and portfolio systems; investigate discrepancies and coordinate with internal partners and custodians to resolve them.
• Process and follow up on client documentation, securities, and transactions in accordance with firm procedures; monitor pending items and deadlines.
• Solicit and receive orders from the Financial Advisor and, where authorized by firm policy, enter unsolicited trades at the Financial Advisor’s direction.
• Keep client paperwork and account records current under applicable firm and industry requirements; identify exceptions and refer matters requiring judgment or approval to the appropriate advisor or supervisor.
• Maintain portfolio and client service data and produce accurate reports for advisors, clients, and internal stakeholders.

Senior Level Leadership and Process Ownership

• Own escalated or complex service matters, coordinate the people needed to resolve them, and keep clients and advisors informed of status and next steps.
• Anticipate workload, set priorities across competing requests, and help manage the team’s service queue so urgent client needs and required deadlines receive attention.
• Serve as a day to day resource for junior associates; provide training, share best practices, review work when assigned, and support cross training across operational functions.
• Identify recurring service issues and recommend improvements to checklists, handoffs, documentation, and client communication practices.
• Coordinate operational aspects of advisor or client transitions, including account setup, paperwork tracking, status reporting, and issue resolution.
• Partner with advisors, operations, compliance, and other internal teams to support consistent service and prepare for account or process reviews.
• Perform other duties and responsibilities as assigned.

Qualifications

• Experienced in client service and operations within wealth management, a brokerage firm, or a similar financial services setting; prior experience guiding or training colleagues is preferred.
• Strong knowledge of investment concepts, financial markets, securities products, account processes, and applicable firm procedures.
• Ability to research account matters, assess priorities, solve problems, and recognize when to escalate to an advisor, supervisor, or compliance partner.
• Excellent written and verbal communication, discretion, attention to detail, and a calm, professional approach to sensitive or stressful client situations.
• Ability to work independently, manage multiple deadlines, and use office, back office, CRM, spreadsheet, and portfolio software effectively.
• Working knowledge of mathematics sufficient to process and verify account and transaction information.

Required Skills

• Client service within wealth management, a brokerage firm, or similar financial services setting.
• Operational support for Financial Advisors and account processes.
• Researching account matters and resolving discrepancies.
• Written and verbal communication with discretion and attention to detail.
• Independent work, managing multiple deadlines, and effective use of office, back office, CRM, spreadsheet, and portfolio software.
• Mathematics sufficient to process and verify account and transaction information.

Preferred Skills

• Prior experience guiding or training colleagues.
• Senior level leadership in service workflows and process ownership.
• Identifying recurring service issues and recommending improvements.
• Coordinating operational aspects of advisor or client transitions.

Education and Licensing

• Four year degree preferred, or an equivalent combination of education and financial services experience.
• Active Series 7 and Series 63, 65, and/or 66 licenses, as required for the activities performed and the firm’s registration structure.