Client Service Associate - Broker Dealer

Ascendo Resources; Fort Lauderdale (FL); On-site; USD 52,000 - 78,000; Full time

Job summary

Ascendo Resources is seeking a Client Service Associate to support Financial Advisors and their clients within a growing wealth management organization. The role focuses on day-to-day client service, account administration, and operational activities with a high level of responsiveness and professionalism.

Ideal candidates will have prior experience in wealth management or financial services; FINRA Series 7 license is preferred, with additional securities licenses considered a plus.

Qualifications

• 2+ years in wealth management, brokerage, or financial services preferred.
• FINRA Series 7 preferred, licenses such as Series 63/65/66 are a plus.
• Experience supporting Financial Advisors and investment clients is preferred.

Responsibilities

• Provide day-to-day service and operational support to Financial Advisors and clients.
• Serve as main contact for client inquiries and account-related matters.
• Assist with opening and maintaining accounts (individual, joint, trust, retirement, corporate).
• Prepare and process new account documentation and maintenance requests.
• Process client transactions (ACH, wire, journals, checks, deposits, distributions, transfers).
• Assist with ACATs and asset-transfer requests; track and resolve exceptions.

Skills

Client service

Attention to detail

Communication skills

Multi-tasking

Tools

NetX360

Envestnet

Salesforce

Schwab Advisor Center

Fidelity Wealthscape

Job description

We are seeking a motivated and client-focused Client Service Associate to support Financial Advisors and their clients within a growing wealth management organization. This individual will play an important role in managing day-to-day client service needs, account administration, and operational activities while delivering a high level of responsiveness and professionalism.

The ideal candidate will have prior experience within wealth management, a broker-dealer, RIA, private banking, or financial services environment. A FINRA Series 7 license is preferred, along with additional securities licenses.

Key Responsibilities

• Provide day-to-day service and operational support to Financial Advisors and their clients.
• Serve as a key point of contact for client inquiries, requests, and account-related matters.
• Assist with opening and maintaining individual, joint, trust, retirement, corporate, and other investment accounts.
• Prepare and process new account documentation, account updates, beneficiary changes, and maintenance requests.
• Process and monitor client transactions including ACH transfers, wire transfers, journals, checks, deposits, distributions, and account transfers.
• Assist with ACATs and other asset-transfer requests, tracking transactions through completion and resolving exceptions as needed.
• Coordinate client onboarding and ensure all required documentation is completed accurately and submitted in accordance with firm procedures.
• Work closely with custodians, clearing firms, operations teams, compliance, and other internal departments to resolve client requests.
• Maintain accurate client information and documentation within CRM and account management systems.
• Assist Financial Advisors with meeting preparation, client documentation, reports, and follow-up items.
• Respond to client inquiries regarding account activity, statements, online access, documentation, and operational matters.
• Identify and escalation account discrepancies, documentation issues, and time-sensitive client requests.
• Maintain knowledge of firm policies, FINRA requirements, and applicable regulatory and compliance procedures.
• Deliver a high-touch client experience while managing multiple priorities and maintaining strong attention to detail.

Qualifications

• 2+ years of experience in wealth management, brokerage, investment services, private banking, RIA, or a related financial services environment preferred.
• Previous experience supporting Financial Advisors, Wealth Advisors, Registered Representatives, or investment clients strongly preferred.
• FINRA Series 7 preferred.
• Series 63, 65, or 66 licenses are a plus.
• Familiarity with brokerage accounts, investment products, account opening, money movement, and client servicing processes.
• Experience with platforms such as NetX360, Envestnet, Salesforce, Schwab Advisor Center, Fidelity Wealthscape, Pershing, or similar systems is a plus.
• Strong written and verbal communication skills.
• Excellent organizational skills with the ability to manage multiple client requests and deadlines simultaneously.
• Strong attention to detail and commitment to accuracy.
• Professional, proactive, and service-oriented approach when interacting with clients and internal teams.