Registered Client Service Associate

Roklyn; San Jose (CA); On-site; USD 75,000 - 110,000; Full time

Job summary

Roklyn in San Jose, CA is seeking an on-site Client Service & Operations Specialist to support a high-touch wealth management practice. You will own client service end-to-end, keep CRM data pristine, coordinate meetings, and ensure timely follow-through across the advisory platforms.

The role requires hands-on experience with Redtail CRM and LPL ClientWorks, plus proficiency in Outlook, Excel, Word, and Zoom.

Qualifications

• 3+ years in wealth management or related operations.
• Proven client service/operations track record.
• Experience with Redtail CRM and knowledge of LPL ClientWorks.
• Proficiency in Outlook, Excel, Word, and Zoom.
• Series 66 and Series 7.

Responsibilities

• Own client service end-to-end: paperwork processing, CRM integrity, meeting coordination, and follow-through across all systems.
• Coordinate and confirm client review meetings, calls, and follow-ups.
• Send meeting reminders, post-meeting summaries, and required documentation.
• Prepare, submit, and track all client paperwork (account openings, insurance applications, transfers, distributions, contributions).
• Maintain complete, accurate client profiles in Redtail including KYC, contact info, banking, and beneficiaries.
• Enter and manage meeting notes, emails, and attachments; manage workflows related to financial plans.

Skills

Wealth management experience

Client service/operations

Redtail CRM

LPL ClientWorks

Outlook

Excel

Word

Zoom

Series 66

Series 7

Tools

Redtail CRM

LPL ClientWorks

Job description

**This is an on site position** Please only apply if you are able to be in office in San Jose, CA - or plan to relocate.

The Role

You're the operational engine of a high-touch wealth management practice. You own client service end-to-end: paperwork processing, CRM integrity, meeting coordination, and follow-through across all systems.

Key Responsibilities

Client Service & Account Management

• Manage full client lifecycle: account openings, transfers, distributions, and ongoing service
• Coordinate and confirm client review meetings, calls, and follow-ups
• Send meeting reminders, post-meeting summaries, and required documentation
• Prepare, submit, and track all client paperwork (account openings, insurance applications, transfers, distributions, contributions)

CRM & Records Management

• Maintain complete, accurate client profiles in Redtail including KYC, contact info, banking, and beneficiaries
• Enter and manage detailed meeting notes, emails, and attachments
• Create, track, and close activities with strong follow-through
• Uphold documentation and compliance standards at all times
• Prepare for client meetings by maintaining data in planning and portfolio systems
• Generate financial plan reports, recap spreadsheets, and review packets
• Manage workflows related to financial plans, Investment Policy Statements, and planning agreements
• Track RMDs through completion and ensure confirmations are documented
• Coordinate Initial, Draft, and Final plan meetings

Platform Administration

• Process updates and account notifications through LPL ClientWorks
• Prepare ACH setups, distributions, and contribution forms
• Manage account opening documents and maintain a transfers log
• Create and manage invoices through LPL AdvicePay
• Scan, index, and archive all documentation in compliance with firm standards

What We're Looking For

Must-Have Experience & Skills

• 3+ years in wealth management, RIA, or broker-dealer environment
• Proven track record in client service or operations role
• Hands-on experience with Redtail CRM and strong activity/task follow-through
• Familiarity with LPL ClientWorks
• Proficiency in Outlook, Excel (trackers and spreadsheets), Word, and Zoom
• Series 66 and Series 7

Nice-to-Have

• Experience with AdvicePay, eMoney, or RightCapital
• RMD tracking and review-meeting packet preparation

Who You Are

• Service comes first — you're client-focused and anticipate needs before they're asked
• You see problems before they become crises and solve them proactively
• You're comfortable owning outcomes end-to-end and following through without being asked
• You handle sensitive client data and compliance standards with integrity