Senior Registered Client Service Associate

Location: Newport Beach, California, United States

Salary: $55,000.00–$0.00 per year

Company

Established financial services firm providing investment and wealth management support to financial advisors and their clients.

What you will do

• Serve as the first point of contact for prospective and existing clients through phone, email, mail, virtual, and in-person channels.
• Support client onboarding, account opening, liquidity events, private placement monitoring, alternative investments, and foreign account servicing.
• Process and support discretionary and non-discretionary trading, model maintenance, performance tracking, and client orders under Financial Advisor direction.
• Research account and security information, maintain client documentation, and ensure alignment with firm and industry requirements.
• Create reports, track expenses, identify practice performance metrics, and implement operational efficiency improvements.
• Mentor junior team members, manage workflow, and support advisor marketing events and seminars.

Requirements

• High school diploma or equivalent and five years of financial services industry experience, or an equivalent combination of education, training, and experience.
• Six to ten years of general experience preferred or required by the experience profile.
• Series 7 and SIE certifications required unless an exemption or grandfathering provision applies.
• Series 63, 65, and/or 66 required as applicable by state, with the ability to obtain additional state registrations when required.
• Knowledge of financial markets, investment products, securities regulations, trading terminology, and advanced investment concepts.
• Strong organization, analysis, communication, customer service, problem-solving, and multitasking skills, including proficiency with CRM software, goal-planning software, and Excel.

Culture & Benefits

• Full-time resident workstyle in Newport Beach.
• Benefits may include medical, dental, vision, life, critical illness, accident, and disability insurance.
• Retirement savings, paid vacation, holidays, sick leave, and parental leave may be available.
• Professional development, training, and cross-training opportunities.
• People-first culture emphasizing client focus, integrity, collaboration, accountability, continuous improvement, and inclusion.