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Client Service Associate

EverPeak Recruitment
Albany, NY

Quick Apply

Job Details

From $55,000 a year

Qualifications

High school diploma or GED

Full Job Description

Client Services Associate

Registered Broker-Dealer / Registered Investment Advisor

Department: Client Services / Support Staff

Reports To: Senior Administrative Officer

Location: Albany, NY

Position Summary

The Client Services Associate provides front-line support to financial advisors, clients, and internal operations teams within a dual-registered broker-dealer/registered investment advisor (RIA) firm. This role serves as a key liaison between clients and advisors, handling account administration, trade support, client inquiries, and compliance-related documentation. The ideal candidate is detail-oriented, service-driven, and comfortable navigating both brokerage and advisory account environments.

Key Responsibilities

Client Support & Communication

- Serve as a primary point of contact for client inquiries regarding account status, transactions, statements, and general service requests
- Respond to client and advisor requests promptly and professionally via phone, email, and in-person interactions
- Assist in scheduling client meetings and preparing meeting materials, including portfolio reports and account summaries
- Process new account openings, account maintenance, transfers (ACATS), and account closures for both brokerage and advisory accounts
- Ensure all required documentation (KYC, suitability, account agreements) is accurately completed and properly filed
- Maintain and update client records in CRM and portfolio management systems (e.g., Salesforce, Redtail, Orion, Envestnet)
- Assist with trade entry, order confirmations, and trade error resolution under advisor supervision
- Process money movements including wires, ACH transfers, journal entries, and check requests
- Monitor pending transactions and follow up to ensure timely settlement
- Support adherence to FINRA, SEC, and state regulatory requirements, as well as firm policies and procedures
- Assist with maintaining books and records in accordance with regulatory retention requirements
- Flag and escalate potential compliance concerns (e.g., suitability issues, unusual account activity) to appropriate supervisory personnel
- Support completion of required disclosures, Form ADV delivery, and privacy notice distribution
- Prepare and process paperwork related to account transfers, beneficiary changes, and required minimum distributions (RMDs)
- Coordinate with custodians (e.g., Wells Fargo, Schwab, direct) on account-related matters
- Support billing processes for advisory fee calculations and invoicing
- Assist with special projects, audits, and regulatory exams as needed
- High school diploma required; degree in finance, business, or related field preferred
- 1–3+ years of experience in a broker-dealer, RIA, or financial services support role
- Working knowledge of brokerage and advisory account types, products, and industry terminology
- Strong organizational skills with high attention to detail and accuracy
- Excellent written and verbal communication skills
- Proficiency in Microsoft Office (Excel, Word, Outlook) and CRM/portfolio management platforms
- FINRA Series 7 and Series 63/65/66 licenses (or willingness to obtain within a defined timeframe)
- Familiarity with custodial platforms (Advisor Gateway, Schwab Advisor Services, American Funds, etc)
- Understanding of regulatory frameworks including FINRA rules, SEC regulations, and the Investment Advisers Act of 1940
- Client service orientation and professionalism
- Discretion in handling confidential client and financial information
- Ability to multitask and prioritize in a fast-paced, deadline-driven environment
- Team collaboration with advisors, operations, and compliance staff
- Problem-solving and follow-through on outstanding items
- Standard office environment; occasional extended hours during peak periods (e.g., tax season, market volatility)
- May require occasional travel for training or firm events

Account Administration

Trade & Transaction Support

Compliance & Risk Management

Operational & Administrative Support

Qualifications

Required

Preferred

Core Competencies

Working Conditions

Compensation

Salary $55,000+ commensurate with experience, licensing, etc

Quick Apply

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Client Service Associate

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