Client Service Associate - Registered

 

The Registered Client Service Associate (R-CSA) plays a critical role in supporting Financial Advisors (FAs), and their teams in delivering exceptional client service. This role involves direct client interaction, administrative support, and operational execution to ensure a seamless client experience. The R-CSA builds trusted relationships through consistent communication and a client-first mindset.

 

Client Support

• Serve as the primary point of contact for client inquiries, including account queries, stock orders, payments, and documentation.
• Assist with account opening, onboarding, due diligence, and ongoing monitoring.
• Execute money movement transactions and enter trade orders at the direction of the FA.
• Educate and enroll clients in digital tools (e.g., eSign, eAuthorization).
• Maintain and update client account information, including investment objectives and risk tolerance.
• Support client meetings, business trips, and investment proposals with necessary documentation.
• Ensure compliance with legal, regulatory, and internal policy requirements.
• Help implement and maintain the FA/team’s marketing strategy (e.g., website updates).

 

Administrative Support

• Manage calendars, schedule meetings, and coordinate logistics including Zoom credentials and materials.
• Handle travel arrangements, prepare expense reports, and manage reimbursements.
• Answer inbound and outbound calls, providing updates and scheduling follow-ups.
• Perform general office duties such as filing, scanning, and maintaining records.
• Act as gatekeeper during prime market hours to ensure focus and efficiency.

 

Education & Licensing

• High School Diploma or equivalent required; college degree a plus.
• Active Series 7 and Series 66 (or Series 63 and 65) licenses required.

 

Experience

• 2–4 years of experience in the financial services or brokerage industry, preferably in a client-facing role.

 

Skills & Attributes

• 2 plus years financial product experience.
• Highly proficient in Microsoft Office (Word, Excel, Outlook, PowerPoint); familiarity with portfolio software and brokerage systems is a plus.
• Exceptional attention to detail, even under pressure.
• Excellent interpersonal, communication, and client service skills.
• Ability to multitask, prioritize, and work in a fast-paced, deadline-driven environment.
• Discretion, tactfulness, and adaptability to changing demands.
• Team-oriented with a proactive and goal-driven mindset.

 

The above statements are intended to describe the general nature and level of work being performed by individuals in, or assigned to, the above position and are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required and may be changed at the discretion of the Company.