Registered Client Service Associate

711 MS Smith Barney, LLC; Tysons (VA); On-site; USD 70,000 - 115,000; Full time

Benefits offered by this job

Comprehensive employee benefits

Incentive compensation and bonuses

Job summary

711 MS Smith Barney, LLC in Tysons, Virginia is seeking a Registered Client Service Associate to deliver exceptional service supporting Financial Advisors and Private Wealth Advisors. This role requires strong interpersonal skills and the ability to assist clients with a wide range of financial needs.

The ideal candidate will have a High School diploma, relevant licenses, and experience in the financial services industry, with compensation ranging from $70,000 to $115,000 annually. The position also includes benefits and opportunities for bonuses.

Qualifications

• Active Series7 and Series66 or Series63 and Series65 licenses are required.
• Two or more years of industry experience preferred.
• Understanding of various financial products is necessary.

Responsibilities

• Support financial advisors in client relationships and transactions.
• Manage calendars and coordinate meetings.
• Prepare and submit expense reports at the direction of the FA/PWA.

Skills

Detail-oriented

Advanced Microsoft Office skills

Exceptional writing skills

Strong time-management skills

Understanding of financial services products

Education

High School Diploma/Equivalency

College degree preferred

Job description

Position Summary

Registered Client Service Associates provide exceptional client service to support Financial Advisor(s), Private Wealth Advisor(s), and teams on a daily basis. The role is client‑first, requiring strong interpersonal skills and the ability to assist clients with a wide range of needs.

Duties and Responsibilities

Client Support

• Support the FA/PWA/team in cultivating and enhancing new and existing client relationships.
• Execute money‑movement transactions at the request of the client and/or FA/PWA/team.
• Answer general non‑investment related questions concerning client accounts, including relaying stock positions and providing account balances (e.g., funds due and margin debit).
• Enter profile information or pre‑fill account documentation on client accounts and/or documents in a clerical capacity at the direction of the client and/or FA/PWA/team.
• Educate or enroll clients in digital tools (e.g., MSOnline, eSign, eAuthorization).
• Onboard and maintain client accounts, collecting client information and required documentation in a clerical capacity.
• Provide existing clients with details around their account information (e.g., investment objectives, risk tolerance).
• Accept or enter unsolicited orders and/or entered solicited orders in a clerical capacity at the direction of the FA/PWA/team.
• Support the FAs/PWAs/teams’ marketing strategy (e.g., website maintenance).
• Assist FAs/PWAs/teams in delivering against their business plan and client service model.
• Remain current on all policies, procedures, and new platforms.
• Participate in firm initiatives (e.g., training or education programs), special projects, and/or other duties directed by local management.

Administrative Support

• Answer inbound phone calls or make outbound calls with updates on service requests (e.g., scheduling follow‑up calls with FAs/PWAs/teams as needed).
• Manage the calendar, coordinating meetings or events and preparing logistics such as material prep, maintaining agendas, and sending calendar invites with Zoom credentials.
• Maintain travel itineraries, prepare expense reports, and manage the reimbursement process.
• Assist with general in‑office support functions such as copying, filing, and scanning documentation.
• Prepare and submit expense reports for processing at the direction of the FA/PWA.

Qualifications

• Education: High School Diploma/Equivalency; College degree preferred.
• License: Active Series7 (GS), and Series66 (AG/RA) or Series63 (AG) and Series65 (RA).
• Experience: Two or more years of industry experience preferred.
• Knowledge/Skills: Understanding of financial services products including equities, bonds, options, mutual funds, annuities, insurance, and managed accounts.
• Detail‑oriented with superior organizational skills and the ability to prioritize.
• Advanced Microsoft Office skills (Word, Excel, Outlook, PowerPoint).
• Exceptional writing, interpersonal, and client‑service skills.
• Strong time‑management skills.
• Team player who collaborates effectively with others.
• Ability to work in a fast‑paced, evolving environment and adapt while multitasking.
• Goal‑oriented, self‑motivated, and results‑driven.

Reports To

Business Service Officer

Compensation and Benefits

Expected base pay rates: $70,000–$115,000 per year at commencement. Compensation may also include commission earnings, incentive compensation, discretionary bonuses, and other short‑ and long‑term incentive packages, along with sponsored benefit programs. Employees benefit from a comprehensive package of employee and family benefits.

Equal Employment Opportunity

MorganStanley is an equal opportunity employer committed to building and maintaining a workforce diverse in experience and background. Our recruiting efforts reflect strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.