Registered Client Associate

4 weeks ago

Austin, United States Ascendo Resources Full time

Responsibilities:

  • Serve as the primary point of contact for assigned clients, building and maintaining strong relationships based on trust and integrity.
  • Proactively communicate with clients to address inquiries, provide updates on account activity, and offer support as needed.
  • Anticipate client needs and identify opportunities to enhance the client experience through personalized service and attention to detail.
  • Assist financial advisors in managing client portfolios, including account opening, transfers, and account maintenance.
  • Prepare and process client paperwork accurately and efficiently, ensuring compliance with regulatory requirements and internal policies.
  • Coordinate client meetings, including scheduling, agenda preparation, and post-meeting follow-up.
  • Collaborate with internal teams to resolve client issues and inquiries in a timely manner, demonstrating a commitment to exceeding client expectations.
  • Maintain accurate client records and documentation, utilizing CRM software and other tools to track client interactions and account activity.

Requirements

  • Bachelor's degree in finance, business administration, or a related field.
  • 3 years of experience in client service within the financial services industry, preferably in wealth management or investment advisory.
  • FINRA Series 7 65/66 required
  • Strong understanding of financial products and services, including investment vehicles, retirement accounts, and insurance products.
  • Excellent communication and interpersonal skills, with the ability to build rapport with clients and collaborate effectively with internal teams.
  • Detail-oriented with strong organizational skills and the ability to prioritize and manage multiple tasks in a fast-paced environment.
  • Proficiency in Microsoft Office Suite and CRM software (e.g., Salesforce) preferred.

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