Client Service Associate - Registered

Cary Street Partners LLC; Tampa (FL); On-site; USD 60,000 - 65,000; Full time

Job summary

Cary Street Partners LLC in Tampa, FL, seeks a Client Service Associate – Registered to support the Wealth Management Group and Financial Advisors with account openings, maintenance, and client operations.

The role involves handling client interactions, maintaining files, and ensuring compliance with policies while prioritizing multiple tasks. Requires SIE and Series 7 licenses and a relevant degree, with preferred Series 66 and CRM/eMoney experience.

Qualifications

• SIE and Series 7 licensed.
• Series 66 preferred.
• Prior experience in a similar role within the financial services industry.
• Bachelor’s degree or Associate’s degree required.
• Experience with custodial and client relationship management systems preferred.
• Knowledge of eMoney software preferred.

Responsibilities

• Provide primary support to the Wealth Management Group and Financial Advisors.
• Open new accounts and maintain existing accounts.
• Maintain client files and profiles in the CRM system.
• Assist in client operations and trade-related tasks.
• Communicate with clients, vendors, and colleagues with professionalism.
• Ensure compliance with firm policies and regulatory requirements.

Skills

SIE license

Series 7

Client service orientation

Education

Bachelor’s or Associate’s degree

Tools

Custodial systems

CRM software

eMoney

Job description

The Client Service Associate – Registered provides primary support to the Wealth Management Group and must possess excellent organizational skills and interpersonal capabilities to effectively interact with employees, clients, and vendors. The position will provide support to Financial Advisors, be responsible for all administrative duties, and assist in all areas of client operations including opening new accounts and account maintenance. The Client Service Associate – Registered must be detail oriented and have the flexibility and ability to prioritize various projects and take initiative on tasks.

Position Responsibilities And Essential Functions

• Provides a consistently positive client experience through excellent service and execution in
• maintaining client accounts, responding with urgency and diligence to meet or exceed
• expectations.
• Displays exemplary client service skills and mindset operating with a high degree of accuracy,
• attention to detail, organizational skills, and follow-through.
• Exercises discretion and independent judgment when necessary and in relation to client
• relationship management.
• Displays deep industry knowledge in assisting clients, genuinely invested in helping clients
• and colleagues succeed.
• Upholds CSP’s ethical and fiduciary standards by maintaining strict adherence to compliance
• policies, procedures, and standards, and by identifying and escalating potential concerns.
• Maintains client files & profiles in the contact management system.
• Executes trades and independently recommends strategies to raise cash based on account specific
• analysis and client needs.
• Independently performs trade reconciliation on the custodian platform, identifying and
• resolving discrepancies prior to escalation.
• Discusses investment options directly with clients, applying industry knowledge to address
• questions and support informed decision-making.
• Completes tax loss harvesting trades under the direction of the Financial Advisor, applying
• attention to detail and platform proficiency to ensure accurate execution.
• Independently evaluates account documentation, transaction requests, and client
• instructions to identify discrepancies, compliance concerns, or exceptions requiring
• resolution before escalation.
• Exercises discretion in prioritizing and managing time-sensitive tasks related to client
• accounts/relationships without daily oversight.
• Serves as a primary point of judgment for resolving custodial and transfer discrepancies that
• directly affect client account accuracy and firm compliance obligations.
• Continuously builds proficiency in custodial, portfolio management, and CRM software and
• platforms, staying current as tools and best practices evolve.
• Responsible for final review and sign-off on custodian specific paperwork prior to advisor or
• client delivery.
• Collaborates closely with the Financial Advisor to prepare correspondence, client
• proposals, presentations, spreadsheets, contribution ideas and perspective to strengthen
• client deliverables.
• Authorized to communicate directly with custodians and clearing firms on client matters
• without prior advisor approval on routine matters.
• Makes recommendations regarding the formulation of policies and procedures for
• opening accounts, maintenance of client files, monthly preparation of information for
• client billing and other operational functions performed on a regular basis.
• Performs various administrative functions for the office, including but not limited to
• answering and directing phone calls, managing incoming and outgoing mail & packages,
• ordering supplies, & maintaining office equipment.
• Supports Financial Advisors, Operations Supervision Managers, or Regional Manager with
• client or office events & initiatives.
• Travel as needed for company training to include attending CSA specific events.
• Maintains regular and reliable attendance.

Professional Experience

• SIE and Series 7 licensed.
• Series 66 preferred.
• Prior experience in a similar role within the financial services industry.
• Bachelor’s degree or Associate’s degree required.
• Experience with custodial and client relationship management systems preferred.
• Knowledge of eMoney software preferred.

Base Compensation: $60,000 - $65,000 Annually

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status. Cary Street Partners participates in e-Verify and will submit your I-9 documentation to the federal government to confirm your legal eligibility to work in the United States.