Licensed Client Service Associate

Workplace Harmony; Philadelphia (Philadelphia County); On-site; USD 55,000 - 75,000; Full time

Job summary

Workplace Harmony seeks a Licensed Client Service Associate to join our client-focused financial planning and wealth management practice in Philadelphia. You will act as the primary liaison between clients, advisors, custodians, and insurers to deliver proactive service and outstanding client experiences.

You will support advisors with planning, account maintenance, and insurance paperwork while ensuring regulatory compliance and accurate record-keeping.

Qualifications

• Active Life and Health Insurance License.
• FINRA Series 6 or 7 License is preferred.
• FINRA 63 or 66 license is preferred.
• 2–5 years of experience in financial services, wealth management, or investment operations.
• Strong understanding of financial planning concepts and client service practices.
• Experience with investment accounts, retirement plans and insurance products.
• Proficiency with CRM systems and Microsoft Office Suite (Excel/OneDrive).

Responsibilities

• Serve as primary point of contact for client service requests, policy administration, and account servicing needs.
• Communicate professionally and proactively with clients, providing updates and guidance.
• Build and maintain client relationships through responsive communication.
• Assist with account maintenance, beneficiary updates, address changes, transfers and distributions.
• Proactively follow up on outstanding items to ensure timely completion.
• Coordinate client meetings, prepare documentation, and drive follow-up actions.
• Support advisors in implementing financial planning recommendations.
• Assist with account openings, transfers, rollovers, and insurance paperwork.
• Prepare and process financial planning and investment-related documents.
• Monitor workflows and maintain accurate client records and compliant documentation.
• Maintain electronic filing systems and CRM databases (OneDrive).
• Coordinate with custodians, broker-dealers, insurance carriers, and third-party vendors.
• Assist with audits, compliance reviews, and regulatory changes.
• Participate in team meetings and professional development.

Skills

Client service excellence

Clear communication

CRM systems

Microsoft Office

Tools

CRM systems

Microsoft Excel

Job description

Our Financial Services client is seeking a client-focused, detail-oriented Licensed Client Service Associate to join our growing financial planning and wealth management practice. This role serves as a critical liaison between clients, advisors, custodians, and insurance carriers, ensuring an exceptional client experience through proactive service, operational excellence, and relationship management.

The Licensed Client Service Associate will communicate directly with clients on a daily basis, serving as a trusted and responsive point of contact for service requests, account administration, and financial planning support. The ideal candidate combines strong technical knowledge with a genuine commitment to helping clients navigate important financial decisions with confidence and clarity. We are seeking someone who demonstrates clear communication, takes ownership of responsibilities, collaborates effectively with the team, and brings an eagerness to learn and continuously grow within the financial services industry.

Our firm is built on loyalty, integrity, and trust. We seek professionals who embody those values and are passionate about delivering personalized services that strengthens long-term client relationships.

Key Responsibilities

Client Service & Relationship Management

• Serve as a primary point of contact for client service requests, policy administration, and account servicing needs.
• Communicate directly with clients in a professional, timely, and proactive manner, providing updates, guidance, and exceptional service throughout the client experience.
• Build and maintain strong client relationships through responsive, professional, and personalized communication.
• Assist with account maintenance, beneficiary updates, address changes, transfers, distributions, and other service requests.
• Proactively follow up on outstanding items to ensure timely completion and an exceptional client experience.
• Coordinate client meetings, prepare documentation, and facilitate follow-up actions.

Financial Planning & Operations Support

• Support advisors in implementing financial planning recommendations.
• Assist with account openings, transfers, rollovers, and investment-related paperwork.
• Facilitate insurance applications, policy servicing, underwriting follow-up, and policy delivery.
• Prepare and process financial planning and investment-related documents.
• Monitor workflows and track pending business to ensure timely completion of transactions.
• Maintain accurate client records and ensure all documentation is complete and compliant.
• Maintain electronic filing systems and CRM databases, including the organization and secure management of files within OneDrive.
• Utilize Microsoft Office applications, including Excel and OneDrive, to manage documentation, track workflows, and support reporting needs.
• Coordinate with custodians, broker-dealers, insurance carriers, and third-party vendors.
• Assist with special projects, process improvements, and operational initiatives.

Compliance & Team Collaboration

• Adhere to all FINRA, SEC, state insurance, and firm compliance requirements.
• Ensure client files are maintained accurately and in accordance with regulatory standards.
• Assist with audits, compliance reviews, and documentation requests.
• Stay informed of industry regulations, product updates, and best practices.
• Partner closely with financial advisors and leadership to support client goals.
• Collaborate effectively with colleagues across the firm to ensure seamless service delivery and operational excellence.
• Participate in team meetings, training sessions, and professional development opportunities.
• Contribute to a culture of professionalism, accountability, and continuous improvement.

Qualifications

Required

• Active Life and Health Insurance License.
• FINRA Series 6 or Series 7 License.
• FINRA Series 63 or Series 66 License.
• Minimum of 2-5 years of experience in financial services, wealth management, insurance, or investment operations.
• Strong understanding of financial planning concepts and client service practices.
• Experience working with investment accounts, retirement plans, and insurance products.
• Proficiency with CRM systems and Microsoft Office Suite, including Excel and OneDrive.
• Strong written and verbal communication skills with the ability to communicate professionally and directly with clients, colleagues, and business partners.
• Exceptional organizational skills, attention to detail, and ability to manage multiple priorities in a fast-paced environment.

Preferred

• Experience supporting financial advisors in a Registered Investment Advisory (RIA) or wealth management environment.
• Familiarity with retirement planning, deferred compensation plans, executive benefits, stock options, and wealth transfer strategies.
• Working knowledge of custodial platforms and financial planning software.

Core Competencies

• Clear and professional communication
• Exceptional client service and relationship management
• Eagerness to learn and continuously improve
• Collaboration and partnership with team members
• Ownership of tasks and accountability for follow-through
• Strong attention to detail and organizational effectiveness
• Sound judgment, discretion, and commitment to confidentiality
• Professionalism, initiative, and a solutions-oriented mindset