Registered Client Associate

Registered Client Associate

Boston, MA • Hybrid (3 days in office) • Full-Time

About the Opportunity

Harrison Gray Search is recruiting on behalf of a well-established, full-service wealth management firm headquartered in Boston, MA, with offices across the United States. Our client offers a comprehensive suite of investment services - including financial planning, investment advisory, brokerage, retirement planning, and cash management - serving individuals, families, and institutions.

The firm fosters a professional, supportive environment where contributions are valued and there is genuine room for growth and advancement. The identity of the client will be shared with candidates as they progress through the interview process.

Role Overview

The Registered Client Associate is a forward-facing team member focused on helping clients achieve their financial goals through high-quality service. This role is integral to the client / financial professional relationship and a valuable partner in the success of the branch - communicating with clients, delivering a personalized experience, and problem solving. It offers meaningful room for growth and advancement.

Reports to: Branch Manager, with additional feedback from assigned Financial Professionals (FPs) Hours: Monday - Friday, 8:30 AM - 5:00 PM EST Location & Schedule: Boston, MA headquarters - hybrid eligible: at least 3 days in office, up to 2 days remote

Key Responsibilities

Client / Financial Professional Team Duties (70%)

• Directly communicate with clients to service account requests or concerns via phone, email, or other channels
• Plan and arrange client meetings
• Document and execute money movements - deposits, ACH, wires, withdrawals, rollovers, etc.
• Complete data entry for financial planning software and assist with risk-tolerance questionnaire completion
• Assist with new account openings and maintain contact with new clients to verify account information, beneficiary designations, address changes, etc.
• Assist with new financial professional transitions when assigned
• Service advisory accounts, as applicable
• Maintain working relationships with other business functions (Compliance, Operations, IT, Strategic Initiatives, Training, etc.) to ensure seamless practices and troubleshoot issues
• Research client portfolios as assigned and stay knowledgeable about financial markets
• Identify client needs through service to initiate opportunities for Financial Professionals
• As experience progresses, maintain open communication with assigned FPs to discuss financial opportunities and client financial plans
• Collaborate with Marketing to support financial professional marketing strategies and initiatives
• Contribute to internal team chat channels to share knowledge with colleagues
• Assist with other branch coverage when needed
• Adhere to and stay current on Compliance and firm policies; participate in firm-sponsored trainings
• Maintain good standing with all FINRA/SEC rules and regulations, including licensure and continuing education requirements, if applicable

• Maintain and organize client files, CRM notes, and documentation
• Use e-signature and document management tools for form signature, distribution, and documentation
• Provide administrative support to assigned Financial Professional(s) and the Branch Manager as needed
• Other duties as assigned

• Take initiative in career growth by enrolling in provided development courses and opportunities
• Compile monthly reports for assigned client / financial professional teams
• Submit monthly expense reports to provide accurate P&L data
• Be an active culture carrier and contribute to positive team morale

• Ability to integrate into Financial Professionals' business and build rapport with clients
• Accomplishment of annual organizational, team, and personal goals set by management
• Revenue growth for the Financial Professionals' business and overall firm growth
• Activity volume - communications, workflow items, adoption of new tools, and professional development

• 3-7 years of relevant experience
• Associate Degree in Business, Finance, or a related field
• SIE licensed
• Series 7 and 66 (or 63/65) licensed, or able to attain within the first 3-6 months of employment
• Confident using Microsoft Office Suite and Google Suite
• Comfortable with industry-standard expense, CRM, and document management platforms
• Comfortable taking initiative and working as part of a team
• Competent across the following skills: customer service; math; clerical work; reading, writing, and oral expression; active listening; critical thinking; social perceptiveness; coordination; time management; deductive and inductive reasoning; empathy; selective attention; time sharing; memorization; initiative; persuasion; and negotiation

• Bachelor's Degree in Business, Finance, or a related field

• Medical, Dental & Vision
• Short-Term & Long-Term Disability, Life Insurance, and optional Supplemental Life for employee, spouse, and dependents
• 401(k) plan with annual match
• Flexible spending accounts
• Identity Theft Protection insurance
• Critical Illness and Accident insurance plans
• PTO: vacation, personal days, sick time, and a volunteerism day to encourage community involvement