Registered Client Service Associate

Job Description Summary

Wiemann Wealth is a private wealth practice that provides professional, empathetic, and extraordinary service to its clients. We work as a collaborative team to understand our clients’ values, goals, and concerns. As we grow, we are seeking a Registered Client Associate who aligns with our values.

The Registered Client Service Associate is a securities-licensed service and operations role that supports financial advisors and client service and account operations to ensure efficiency of the branch office. The ideal candidate has financial services industry experience and is proficient in front- and back-office operations. Additionally, they will be team-oriented and have a strong affinity for organization and process in a professional and discreet environment. Because this role performs licensed securities-related functions, the incumbent must hold securities licenses (Series 7 and 66) or obtain in 6 months of hire as a condition of continued employment.

Job Description

Essential Duties and Responsibilities

• Daily interactions with clients, including basic inquiries, account information, and scheduling of meetings, on the phone, in-person, and virtually.

• Provide professional service to clients, prospects, and vendors including answering incoming calls, greeting visitors, in a warm and friendly manner.
• Work both independently and within a team environment to provide crucial support to the financial advisors and branch office.

• Open new client accounts, process money movement, complete account maintenance requests, and research information as needed.
• Support new account onboarding and maintenance processes that require following up with customers to gather, confirm, risk assessment information, suitability details and investment profile data.

• Take and document client trade instructions and execute trades and related servicing requests accurately and timely, in accordance with firm policies, supervisory procedures, regulatory standards, and licensure requirements.
• Create and maintain records of client communications utilizing Client Relationship Management (CRM) software.

• Research and resolve complex problems relating to client accounts and inquiries.
• Respond to client questions involving account activity, servicing needs, and investment-related administrative follow-up within the scope of licensure and firm policy.
• Escalate matters involving supervisory review to the appropriate financial advisor or principal.

• Support advisors by handling time-sensitive licensed service requests (e.g. trades) for clients during periods when advisors are unavailable.

Knowledge, Skills, and Abilities

Knowledge of

• Company policies and procedures and industry rules and regulations.

• Investment concepts, practices and procedures used in the securities industry.

• Financial markets and products.

• Technology, both hardware and software.
• Suitability standards, client profile documentation requirements, and risk assessment processes applicable to brokerage and advisory accounts.

Skill in

• Client Relationship Management (CRM) software, or similar contact management software.

• Microsoft Office 365 applications

• Effective communication across multiple client platforms (in-person, virtual, phone and mail)
• Project management
• Organization
• Attention to detail
• Time management
• Detail-orientation and ability to proofread one’s work. 
• Conducting professional, compliant client conversations involving account servicing, trade requests, and client profile information.
• Gathering and documenting sensitive financial and investment-related information with accuracy and discretion.

Ability to

• Operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

• Handle conversations with discretion and lead others in providing a high level of customer service in a calm and professional manner, constantly projecting a service attitude.

• Display professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.

• Employ good analytical skills to be able to research account information and resolve problems.
• Proficiency in Microsoft Suite, AI, Teams and a general understanding of cybersecurity protocols.
• Proficiency in Client Relationship Management software (CRM).

• Utilize good interpersonal and verbal and wri