Job Title: Registered Client Associate
Location: New York, NY
Status: Full Time (5 days in office)
Compensation: $100,000 – $120,000 (base salary) + 35% Bonus
Who We Are
We are a premier independent wealth management firm with offices in NYC and Del Ray Beach, Florida, specializing in serving high-net-worth families, foundations, and trusts. We pride ourselves on being a close, tightly knit, service-oriented team that works collaboratively to embody our values each day: hard work, humility, optimism, responsiveness, and doing whatever needs to be done to make things right. Our office is committed to delivering high-quality, high-touch experiences to our clients so that, no matter whom they work with, clients know that they are receiving our utmost attention.
We offer a highly competitive benefits package, including:
- Fully Paid Medical insurance.
- 3 weeks’ vacation.
- 401K with a 3% company match.
- Discretionary Bonus up to 35% of salary.
What We Are Looking For
We're expanding our team with people who share our vision and want to add real, lasting value to our clients. We're looking for a Registered Client Associate to partner with our Financial Advisors and deliver exceptional service. You will manage account administration, client requests, and operational processes, and serve as a key point of contact for clients. This role keeps the practice running smoothly every day.
The attributes we are looking for in a teammate include:
- A client-focused, service-first attitude.
- Clear, friendly communication, in writing and in person.
- Flexibility and openness to work on varied assignments with people across the firm.
- Ability to learn quickly and improve upon established processes.
- Dependable, honest, and professional, with respect for client confidentiality.
- Strong organization and attention to detail.
- The ability to manage multiple priorities in a fast-paced environment.
- A proactive problem solver who follows requests through to completion.
- A true team player who collaborates to get the best outcome every time.
- Sound judgment on risk, compliance, and regulatory requirements.
- Responsiveness to client questions, with the humility to listen first.
Who You Are
- You have experience in financial services, wealth management, banking, or brokerage operations.
- You take pride in delivering high-quality service and being a trusted point of contact for clients.
- You're organized enough to juggle many requests and deadlines without anything slipping through the cracks.
- You're comfortable with the operational side of an advisory practice and care about getting the details right.
- You enjoy building relationships and want to help improve how the practice serves clients.
- You hold, or are ready to obtain, your Series 7 and/or Series 66.
What You Will Do
- Serve clients by phone, email, and in person with a high level of care and professionalism.
- Assist with new account openings, account maintenance, transfers, and documentation processing.
- Coordinate client onboarding and make sure all required paperwork is completed accurately.
- Process service requests, including cash movements, beneficiary updates, and account changes.
- Prepare client review materials, performance reports, and meeting presentations.
- Schedule appointments and maintain advisor calendars.
- Keep accurate client records and documentation in line with firm policies.
- Monitor service requests to ensure timely completion and follow-up.
- Support compliance, operational, and regulatory requirements.
- Work with internal partners to resolve account and service issues.
- Identify opportunities to strengthen client relationships and make the practice more efficient.
What You Bring to the Table
- Bachelor's degree or equivalent experience.
- 3-5 years experience in financial services, wealth management, banking, or brokerage operations.
- FINRA Series 7 and/or Series 66 required.
- Strong client service and relationship management skills.
- Excellent verbal and written communication.
- Strong organizational skills and attention to detail.
- Proficiency with Microsoft Office.
- Knowledge of investment products and wealth management processes.
- Core competencies: client focus, administrative excellence, problem solving, teamwork and collaboration, risk awareness and compliance, time management, and professionalism and confidentiality.
We welcome a diverse pool of applicants from various backgrounds and urge you to apply to learn more about what our firm offers and see if it might be an attractive fit for both us and you. We look forward to meeting you!