Registered Client Service Associate-Nashville, TN

Location: Nashville, Tennessee, United States; resident workstyle

Company

Financial services firm providing investment and wealth management services through financial advisors and branch offices.

What you will do

• Serve as the first point of contact for prospective and existing clients, handling inquiries, quotes, meeting scheduling, and communications across phone, email, in-person, virtual, and mail channels.
• Support financial advisors and branch staff with client onboarding, account opening, account research, and documentation maintenance.
• Process and monitor asset transfers, cash awaiting investment, corporate actions, and client account alerts.
• Prepare financial reports, spreadsheets, and meeting materials using Excel and other software.
• Input orders, rebalance portfolios, and maintain client records in CRM and related systems.
• Assist with seminars, client-facing events, training, and professional development activities.

Requirements

• High school diploma or equivalent.
• Seven to twelve months of general experience; one or more years of securities industry or related experience is preferred.
• Securities Industry Essentials (SIE) exam required unless an exemption or grandfathering provision applies.
• Series 7 required; Series 63, 65, and/or 66 required as applicable by state.
• Knowledge of investment concepts, securities industry regulations, financial markets, trading terminology, managed account platforms, CRM software, and goal planning software.
• Ability to organize multiple detailed assignments, analyze account information, resolve issues, and provide professional customer service in a fast-paced environment.

Culture & Benefits

• Work independently and collaboratively within a dynamic branch environment.
• Opportunities for training, cross-training, and educational or professional development.
• Benefits may include medical, dental, vision, life, disability, critical illness, and accident insurance.
• Retirement savings, paid vacation, holidays, sick leave, and parental leave may be available based on position and employment status.
• Travel is expected to be less than 25%.