Client Service Associate

EverPeak Recruitment; City of Albany (NY); On-site; USD 55,000 - 75,000; Full time

Job summary

EverPeak Recruitment seeks a Client Services Associate in Albany, NY to provide front-line support to financial advisors, clients, and internal teams within a dual-registered broker-dealer/registered investment advisor (RIA) environment.

The role focuses on account administration, trade support, client inquiries, and compliance documentation. The ideal candidate is detail-oriented, service-driven, and comfortable with brokerage and advisory accounts.

Qualifications

• High school diploma required; finance/business degree preferred.
• 1-3+ years in broker-dealer, RIA, or financial services support role.
• Familiarity with brokerage and advisory account types and industry terminology.
• FINRA Series 7 and Series 63/65/66 licenses (or willingness to obtain) within a defined timeframe.

Responsibilities

• Serve as primary contact for client inquiries regarding accounts, transactions, statements, and service requests.
• Respond to client/advisor requests promptly via phone, email, and in-person.
• Assist in scheduling client meetings and preparing portfolio reports and account summaries.
• Process new accounts, maintenance, transfers (ACATS), and closures for brokerage and advisory accounts.
• Ensure documentation (KYC, suitability, account agreements) is completed and filed.
• Maintain client records in CRM and portfolio systems (Salesforce, Redtail, Orion, Envestnet).
• Assist with trade entry, confirmations, and trade error resolution under supervision.
• Process money movements including wires, ACH transfers, journal entries, and check requests.
• Monitor pending transactions and follow up to ensure timely settlement.
• Support FINRA/SEC/state regulatory compliance and firm policies.

Skills

Communication

Attention to detail

Microsoft Office

CRM/Portfolio platforms

Regulatory compliance

Team collaboration

Client service orientation

Discretion with confidential data

Brokerage/advisory terminology

Problem solving

Education

High school diploma

Finance/business degree preferred

Tools

Salesforce

Redtail

Orion

Envestnet

Microsoft Office

Job description

Client Services Associate

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 elevate 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