Position Overview
The Registered Client Service Associate will provide administrative, operational, and client service support across the firm’s advisory platform. This individual will assist with client onboarding, account administration, custodial paperwork, CRM management, meeting preparation, workflow tracking, and compliance-related support.
The ideal candidate is based in Charlotte, North Carolina, has prior experience in wealth management, financial services operations, or an RIA/broker-dealer environment, and currently holds the appropriate securities licensing required to support an advisory platform.
This role will also assist with operational and administrative support related to the firm’s ongoing RIA registration and infrastructure buildout.
Key Responsibilities
• Support day-to-day client service and operational functions for the advisory business.
• Assist with account opening, transfer paperwork, custodial forms, and client onboarding documentation.
• Prepare and organize client meeting materials, agendas, summaries, and follow-up tasks.
• Maintain accurate client records and workflow updates within CRM and internal systems.
• Coordinate with advisors, custodians, compliance consultants, investment partners, and external vendors.
• Track outstanding paperwork, transfers, signatures, and operational requests through completion.
• Support books-and-records organization and compliance-related operational processes.
• Assist with reporting coordination and investment-related administrative support.
• Help improve and establish operational workflows as the business continues to grow.
• Provide general administrative and organizational support as needed.