Senior Registered Client Associate

Leeds Professional Resources; Miami (FL); On-site; USD 75,000 - 105,000; Full time

Job summary

Leeds Professional Resources in Miami is seeking a Senior Registered Client Associate to support Financial Advisors and clients, handling service and account-related requests while ensuring accurate, compliant activity. The role requires investment knowledge and sound judgment in a regulated environment.

The position demands full bilingual fluency in English and Spanish, plus at least five years of experience supporting clients and Advisors in private banking or wealth management.

Qualifications

• Active FINRA Series 7 license required.
• Series 66 preferred.
• Fully bilingual in English and Spanish.
• At least five years of experience supporting clients and Financial Advisors within private banking, wealth management, or a broker-dealer.
• Bachelor's degree in Business, Finance, Economics, or a related field.
• Strong understanding of investment products, securities transactions, and account administration.

Responsibilities

• Serve as a primary point of contact for client service and account-related requests.
• Support Financial Advisors with daily client coverage, portfolio administration, and investment-related activity.
• Process securities transactions and confirm that accounts are properly funded.
• Monitor holdings, cash balances, income payments, maturities, and corporate actions.
• Review account activity and documentation for accuracy, completeness, and regulatory compliance.
• Coordinate account openings, maintenance requests, transfers, distributions, and other service needs.
• Prepare client materials, portfolio information, and investment-related documentation.
• Work with internal investment, operations, compliance, and product teams to resolve client matters.
• Identify potential service or compliance concerns and elevate them appropriately.
• Maintain organized and current client records.

Skills

Client-service mindset

Communication skills

Organization

Time management

Bilingual English/Spanish

Investment knowledge

Education

Bachelor's degree in Business/Finance/Economics

Job description

A private wealth management firm is seeking a Senior Registered Client Associate to support Financial Advisors and their clients. This position requires investment knowledge, sound judgment, and the ability to manage client requests and transaction activity within a regulated environment.

Responsibilities

• Serve as a primary point of contact for client service and account-related requests.
• Support Financial Advisors with daily client coverage, portfolio administration, and investment-related activity.
• Process securities transactions and confirm that accounts are properly funded.
• Monitor holdings, cash balances, income payments, maturities, and corporate actions.
• Review account activity and documentation for accuracy, completeness, and regulatory compliance.
• Coordinate account openings, maintenance requests, transfers, distributions, and other service needs.
• Prepare client materials, portfolio information, and investment-related documentation.
• Work with internal investment, operations, compliance, and product teams to resolve client matters.
• Identify potential service or compliance concerns and elevate them appropriately.
• Maintain organized and current client records.

Qualifications

• Active FINRA Series 7 license required.
• Fully bilingual in English and Spanish required.
• At least five years of experience supporting clients and Financial Advisors within private banking, wealth management, or a broker-dealer.
• Bachelor's degree in Business, Finance, Economics, or a related field.
• Strong understanding of investment products, securities transactions, and account administration.
• Series 66 preferred.
• Strong communication, organization, follow-through, and client-service skills.
• Ability to handle sensitive information and competing priorities with accuracy and discretion.