Senior Registered Client Associate

Kestra; Roswell (GA); Hybrid; USD 65,000 - 95,000; Full time

Job summary

Kestra in Roswell, GA seeks a Senior Registered Client Associate to support Advisors and deliver a top-tier client experience. You will assist in meeting preparation, maintain client records, and ensure timely, accurate service within compliance standards.

You will collaborate with advisors and broker-dealer partners, handling account processing, reporting, and servicing duties. The role supports a hybrid/flexible work schedule in a wealth management setting.

Qualifications

• SIE, Series 7, and Series 63 licenses required (63/65 or 66 preferred).
• 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, appointment scheduling, and post-meeting documentation.
• Manage client service requests, account maintenance, and problem resolution with compliance in mind.
• Coordinate with broker-dealer on new account establishment, account maintenance, operations, and compliance matters.
• Process and service account paperwork through completion, including eSignature when available.
• Assist in preparation of consolidated performance reporting monthly and quarterly.
• 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 with high organization and attention to detail.
• Identify opportunities to enhance efficiency and improve the client experience.

Skills

Client service

Verbal & written communication

Organizational skills

Time management

Tools

Microsoft Outlook

Microsoft Word

Microsoft Excel

Microsoft PowerPoint

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.