Registered Senior Client Officer - Wealth Management

Ascendo Resources; Miami (FL); On-site; USD 90,000 - 120,000; Full time

Job summary

Ascendo Resources is seeking a skilled client services professional in Miami to serve as the primary contact for allocated clients, ensuring trustful, compliant engagement and proactive communication. You will support financial advisors with account openings, transfers, and ongoing maintenance.

The role requires a Bachelor's degree in finance or related field and FINRA Series 7/66 certification, with strong knowledge of financial products and exceptional communication abilities.

Qualifications

• Bachelor's degree in finance, business administration, or a related field.
• FINRA Series 7/66 required.
• Strong understanding of financial products and services, including investment vehicles, retirement accounts, and insurance products.

Responsibilities

• Serve as the primary point of contact for assigned clients, building and maintaining strong relationships based on trust and integrity.
• Proactively communicate with clients to address inquiries, provide updates on account activity, and offer support as needed.
• Assist financial advisors in managing client portfolios, including account opening, transfers, and account maintenance.
• Prepare and process client paperwork accurately and efficiently, ensuring compliance with regulatory requirements and internal policies.
• Coordinate client meetings, including scheduling, agenda preparation, and post-meeting follow-up.

Skills

Client relationship management

Communication

CRM software

Regulatory compliance

Financial services knowledge

Attention to detail

Education

Bachelor's degree in finance or related field

FINRA Series 7/66 certification

Tools

CRM software

Microsoft Office

Job description

• Serve as the primary point of contact for assigned clients, building and maintaining strong relationships based on trust and integrity.
• Proactively communicate with clients to address inquiries, provide updates on account activity, and offer support as needed.
• Anticipate client needs and identify opportunities to enhance the client experience through personalized service and attention to detail.
• Assist financial advisors in managing client portfolios, including account opening, transfers, and account maintenance.
• Prepare and process client paperwork accurately and efficiently, ensuring compliance with regulatory requirements and internal policies.
• Coordinate client meetings, including scheduling, agenda preparation, and post-meeting follow-up.
• Collaborate with internal teams to resolve client issues and inquiries in a timely manner, demonstrating a commitment to exceeding client expectations.
• Maintain accurate client records and documentation, utilizing CRM software and other tools to track client interactions and account activity.

Requirements

• Bachelor's degree in finance, business administration, or a related field.
• 4+ years of experience in client service within the financial services industry, preferably in wealth management or investment advisory.
• FINRA Series 7/66 required
• Strong understanding of financial products and services, including investment vehicles, retirement accounts, and insurance products.
• Excellent communication and interpersonal skills, with the ability to build rapport with clients and collaborate effectively with internal teams.
• Detail-oriented with strong organizational skills and the ability to prioritize and manage multiple tasks in a fast-paced environment.