Reg Client Service Associate

Jobtailor; Houston (TX); On-site; USD 65,000 - 95,000; Full time

Job summary

Jobtailor in Houston seeks a seasoned financial services administrator to support advisors with financial plans, investment research, and trade processing.

You will prepare meetings, manage client data, coordinate paperwork, and support marketing events while ensuring compliance and accurate documentation. This role requires a bachelor's degree and securities licenses, with room to grow in a fast-paced environment.

Qualifications

• Requirements include a Bachelor's degree or equivalent and 3-5 years of relevant experience.
• Series 7 or ability to obtain within 150 days; State Securities Agent Registration (S63 or S66) or ability to obtain within 150 days; State IAR Registration (S65 or S66) or ability to obtain within 150 days.
• Life, Accident, and Health licenses & Variable Contracts or ability to obtain within 150 days.
• Experience in a client service environment; detail oriented with strong math and analytical skills.
• Excellent organization and time management; ability to handle multiple priorities and work independently.

Responsibilities

• Assist advisor in servicing clients including preparing financial plans, conducting investment research and completing trades and transactions.
• Prepare and summarize client meetings by scheduling and confirming meetings, entering data into contact manager, building the agenda and summary of meetings, escort clients to advisor and providing vital follow-up.
• Prepare for and coordinate marketing events including crafting marketing compliance documentation and managing event marketing reimbursement.
• Provide general administrative duties such as answering the advisor’s phone, processing expense management reports, preparing routine client correspondence, support for closes, set up of client files and new business correspondence.

Skills

Financial Planning

Investment Research

Data Entry

Document Preparation

Expense Management

Client Correspondence

Marketing Compliance

New Business Paperwork

Insurance Applications Tracking

Event Coordination

Good Organization

Time Management

Effective Communication

Ability to Work Independently

Process Oriented

Education

Bachelor's Degree

Series 7

State Securities Agent Registration

State IAR Registration

Life, Accident, and Health Licenses

Job description

Responsibilities

• Assist advisor in servicing clients including preparing financial plans, conducting investment research and completing trades and transactions.
• Prepare and summarize client meetings by scheduling and confirming meetings, entering data into contact manager, building the agenda and summary of meetings, escort clients to advisor and providing vital follow-up.
• Prepare and ensure new business paperwork successfully submitted which includes preparing forms, obtaining appropriate signatures, preparing documentation to send to home office, tracking new insurance applications and coordinating rollovers.
• Prepare for and coordinate marketing events which includes crafting marketing compliance documentation and managing event marketing reimbursement.
• Provide general administrative duties such as answering the advisor’s phone, processing expense management reports, preparing routine client correspondence, support for closes, set up of client files, copy and new business correspondence and alerts.

Requirements

• Bachelors degree or equivalent
• 3 - 5 years Relevant Experience Required
• Series 7 or ability to obtain within 150 days
• State securities agent registration (S63 or S66) or ability to obtain within 150 days
• State IAR registration (S65 or S66) or ability to obtain within 150 days
• Life, Accident, and Health licenses & Variable Contracts or ability to obtain within 150 days
• Experience working in a client service environment.
• Detail oriented, strong math, and analytical skills.
• Good organization and time management skills.
• Able to manage multiple priorities and prioritizes effectively.
• Able to independently work with minimal supervision.
• Able to communicate with all levels within the organization.
• Process oriented and can work with a team.
• Strong computer and software skills.

Hard Skills

• Financial Planning
• Investment Research
• Data Entry
• Document Preparation
• Expense Management
• Client Correspondence
• Marketing Compliance
• New Business Paperwork
• Insurance Applications Tracking
• Event Coordination

Soft Skills

• Good Organization
• Time Management
• Effective Communication
• Ability to Work Independently
• Process Oriented

Certifications & Qualifications

• Bachelor's Degree
• Series 7
• State Securities Agent Registration
• State IAR Registration
• Life, Accident, and Health Licenses