Senior Registered Client Associate

Kestra Financial Independent Advisor; Roswell (NM); Hybrid; USD 55,000 - 85,000; Full time

Job summary

Kestra Financial Independent Advisor in Roswell, NM seeks a Senior Registered Client Associate to support advisors and deliver exceptional client experiences. You will assist in meeting prep, paperwork, reporting, and CRM maintenance to ensure accurate records and timely service.

Responsibilities include coordinating client service requests, processing account paperwork with compliance standards, and partnering with the broker-dealer on new accounts and maintenance.

Qualifications

• SIE, Series 7, and Series 63 licenses required (63/65 or 66 preferred).
• Prior experience in a registered client service, wealth management, or financial services support role.
• Strong understanding of account processing, client service, and compliance requirements.

Responsibilities

• Assist in client meeting preparation and follow-up, including paperwork, reports, scheduling, and post-meeting documentation.
• Manage client service requests, account maintenance, and issue resolution with compliance in mind.
• Collaborate with the broker-dealer on new accounts, maintenance, operations, and compliance.
• Process and service account paperwork via paperless procedures, including eSignature when available.
• Assist in preparing consolidated performance reporting on a monthly and quarterly basis.
• Maintain CRM database and ensure client records are current and accurate.
• Support the firm's client service model and operational processes.
• Handle multiple priorities and deadlines with high organization and attention to detail.
• Identify opportunities to enhance efficiency and client experience.
• Other duties as assigned by Managing Partners.

Skills

Outlook

Word

Excel

PowerPoint

Verbal communication

Written communication

Organization

Time management

Attention to detail

Client relationships

Team oriented

Tools

CRM

MS Office

Job description

SUMMARY

The Senior Registered Client Associate reports to the Managing Partners and plays a critical role in supporting Advisors and delivering an exceptional client experience. This position utilizes strong client service, communication, and problem-solving skills to provide timely, accurate, and professional support to clients and firm leadership.

As a member of a small, independent wealth management firm, this individual will have the opportunity to work closely with advisors, build meaningful client relationships, and make a direct impact on the success of the practice. The position offers a hybrid/flexible work schedule.

Essential Duties and Responsibilities

• Assist in client meeting preparation and follow-up, including assembling paperwork, report generation, appointment scheduling, and post-meeting documentation.


• Manage client service requests, account maintenance, and problem resolution in a timely and accurate manner while adhering to compliance standards.


• Partner with the broker-dealer on new account establishment, account maintenance, operations, and compliance matters.


• Process, submit, and service account paperwork and requests through completion utilizing paperless procedures, including eSignature when available.


• Assist in preparation of consolidated performance reporting on a monthly and quarterly basis.


• Maintain CRM database and ensure client records are current and accurate.


• Support the firm's client service model and operational processes.


• Manage multiple priorities and deadlines while maintaining a high level of organization and attention to detail.


• Identify opportunities to enhance efficiency and improve the client experience.


• Other responsibilities as assigned by the Managing Partners.

Supervisory Responsibilities

None.

Licenses and Qualifications

Required

• SIE, Series 7, and Series 63 licenses (63/65 or 66 preferred).


• Prior experience in a registered client service, wealth management, or financial services support role.


• Strong understanding of account processing, client service, and compliance requirements.

Knowledge, Skills, and Abilities

• Advanced computer skills, including Outlook, Word, Excel, and PowerPoint.


• Excellent verbal and written communication skills.


• Strong organizational and time management abilities.


• Ability to work independently and effectively manage multiple priorities.


• Strong attention to detail and follow-through.


• Ability to build relationships with clients and business partners while delivering a high level of service.


• Professional, team-oriented mindset with a commitment to client satisfaction.