Senior Registered Client Associate

A private wealth management firm is seeking a Senior Registered Client Associate to support Financial Advisors and their clients. This position requires investment knowledge, sound judgment, and the ability to manage client requests and transaction activity within a regulated environment. Responsibilities Serve as a primary point of contact for client service and account-related requests. Support Financial Advisors with daily client coverage, portfolio administration, and investment-related activity. Process securities transactions and confirm that accounts are properly funded. Monitor holdings, cash balances, income payments, maturities, and corporate actions. Review account activity and documentation for accuracy, completeness, and regulatory compliance. Coordinate account openings, maintenance requests, transfers, distributions, and other service needs. Prepare client materials, portfolio information, and investment-related documentation. Work with internal investment, operations, compliance, and product teams to resolve client matters. Identify potential service or compliance concerns and elevate them appropriately. Maintain organized and current client records. Qualifications Active FINRA Series 7 license required. Fully bilingual in English and Spanish required. At least five years of experience supporting clients and Financial Advisors within private banking, wealth management, or a broker-dealer. Bachelor's degree in Business, Finance, Economics, or a related field. Strong understanding of investment products, securities transactions, and account administration. Series 66 preferred. Strong communication, organization, follow-through, and client-service skills. Ability to handle sensitive information and competing priorities with accuracy and discretion. #J-18808-Ljbffr Leeds Professional Resources