An independent wealth management firm is seeking an experienced Registered Client Service Associate to provide high-level operational and relationship-management support to Financial Advisors and their clients.
This position requires active FINRA licensing and substantial experience managing brokerage and advisory account activity. Candidates without an active Series 7 and Series 66 will not be considered for this opening.
- Serve as a primary contact for clients regarding account administration and routine service needs.
- Support Advisors with all aspects of client relationship management.
- Open and maintain brokerage, advisory, retirement, and trust accounts.
- Execute and process securities transactions in accordance with firm and regulatory requirements.
- Process ACAT transfers, distributions, deposits, wires, journals, beneficiary changes, and other money-movement requests.
- Review client documentation for completeness and accuracy.
- Coordinate directly with custodians to resolve account restrictions, exceptions, and service issues.
- Prepare client meeting materials, performance reports, and investment-review packages.
- Maintain complete and accurate records within CRM, custodial, and portfolio-management systems.
- Monitor outstanding requests and ensure timely completion.
- Follow FINRA requirements, internal controls, privacy standards, and client-confidentiality procedures.
Candidates must meet every requirement below:
- Minimum of five years of direct wealth management client-service or advisor-support experience.
- Current, active FINRA Series 7 license.
- Current, active FINRA Series 66 license. A combination of Series 63 and 65 may be considered only if it fully satisfies the firm’s registration requirements.
- Experience supporting Financial Advisors, Wealth Advisors, or Private Wealth teams.
- Experience must come from an RIA, broker-dealer, private wealth firm, investment advisory firm, or wealth management division of a bank.
- Hands-on experience with brokerage and advisory account opening and maintenance.
- Hands-on experience processing securities transactions.
- Hands-on experience with ACAT transfers, distributions, wires, journals, money movement, beneficiary changes, and retirement-account documentation.
- Working knowledge of FINRA requirements and investment-account operational controls.
- Willing and able to work 100% in-office in Bloomington, Minnesota.
- Strong client-facing communication, organization, accuracy, and discretion.
MOHR Talent is an equal-opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at
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