Registered Client Service Associate (Series 7)

Job Description

Job Description

Position Overview

Hennion & Walsh is seeking motivated and detail-oriented Registered Client Service Associates to join our growing financial services team. This role is ideal for individuals who currently hold their FINRA Series 7 and Series 63 licenses and are looking to build a long-term career in financial services outside of a purely sales-focused role.

As a Registered Client Service Associate, you will work closely with Financial Advisors and clients to provide high-level service, operational support, and relationship management. This position combines client interaction, administrative support, and investment industry knowledge within a collaborative, team-oriented environment.

Hennion & Walsh provides ongoing training, mentorship, and career development opportunities, giving team members the support and resources needed to grow professionally within the firm.

Position Key Responsibilities

• Support Financial Advisors with client servicing, operational processing, and administrative tasks
• Develop and maintain strong client relationships through ongoing communication and support
• Assist clients with account-related requests, paperwork, and general service inquiries
• Provide operational support including account maintenance, money movement requests, and documentation processing
• Collaborate with internal teams to ensure a seamless client experience
• Maintain accurate client records and assist with regulatory and compliance-related processes

Position Must Haves

• Active FINRA Series 7 and Series 63 licenses
• Strong client service and relationship-building skills
• Excellent communication and interpersonal abilities
• Strong organizational skills and attention to detail
• Ability to multitask and work in a fast-paced environment
• Microsoft Office proficiency (Word, Excel, Outlook)
• Bachelor’s Degree preferred or equivalent professional experience
• 1–3 years of financial services or brokerage experience preferred

Position Preferences (if applicable)

• Experience supporting Financial Advisors or wealth management teams
• Knowledge of brokerage platforms and operational workflows
• Interest in long-term career growth within the financial services industry

Benefits

• Competitive compensation
• Full medical and dental benefits
• 401(k) plan with company match
• Open and supportive team-based environment
• Ongoing training and professional development opportunities
• Career growth opportunities within a growing financial services firm

The base salary range for this position is $50,000-$70,000 per year. Please note this role requires in-person attendance.

Placement in the range will vary based on job responsibilities and scope, the candidate’s relevant experience, and other factors.

Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the position may also include other variable compensation and benefits, including health benefits, 401(k) plan, and paid time off.