Senior Registered Client Associate

Goodson & Nichols Financial Group; Winston-Salem (NC); On-site; USD 80,000 - 100,000; Full time

Benefits offered by this job

Health, dental and vision insurance

401(k) with employer contributions

Paid time off

Collaborative work environment

Job summary

Goodson & Nichols Financial Group in Winston-Salem, NC seeks a Senior Registered Client Associate to deliver exceptional client service and operational support to the advisory team, serving as a liaison between clients, Financial Advisors, referral sources, and internal partners.

You will help ensure regulatory compliance, maintain client records, handle account forms, schedule meetings, prepare materials, and support business development while upholding integrity and confidentiality.

Qualifications

• 3+ years of Brokerage and Client Services support experience.
• Successfully completed FINRA Series 7 and 63 examinations.

Responsibilities

• Support Financial Advisor(s) with sales, service, and operational activities.
• Respond to client inquiries and provide account information and quotes.
• Schedule and prepare for client meetings and assemble materials.
• Maintain and service client accounts; prepare forms and documentation.
• Process account openings and maintenance; ensure regulatory compliance.
• Prepare reports, presentations, and materials for client reviews.
• Coordinate with advisors, operations, and branch personnel to improve efficiency.
• Communicate regularly with clients to support ongoing service needs.

Skills

Brokerage service

Client relationships

Communication skills

Regulatory knowledge

Sales support

Education

FINRA Series 7 & 63

FINRA registration

Tools

Microsoft Office

CRM software

Job description

Goodson & Nichols Financial Group provides objective, timely financial guidance to individuals, families, and organizations, helping them build, manage, preserve, and transition wealth. Our group emphasizes personal service, integrity, and trust as the foundation of long-term client relationships and comprehensive wealth management planning.

Investment products and services are offered through Wells Fargo Advisors Financial Network, LLC (WFAFN), Member SIPC, a registered broker-dealer and a separate non-bank affiliate of Wells Fargo & Company. Goodson & Nichols Financial Group is a separate entity from WFAFN.

Senior Registered Client Associate

Location: 380 Knollwood St. Suite 340 Winston-Salem, NC 27103

Position Type: Full-Time, On-Site

Role Description

The Senior Registered Client Associate is an experienced professional responsible for delivering exceptional client service and operational support to the advisory team. This role serves as a key liaison between clients, Financial Advisors, referral sources, and internal partners, helping ensure efficient operations, regulatory compliance, and an outstanding client experience.

Key Responsibilities

• Support Financial Advisor(s) with sales, service, and operational activities, including assisting clients via telephone, written correspondence, and in-person interactions.
• Respond to client inquiries and requests for account information, account-related services, and market quotes.
• Schedule and prepare for client and prospective client meetings, including assembling meeting materials and supporting follow-up communications.
• Establish, maintain, and service client accounts; prepare required forms and documentation; and research and resolve account inquiries or issues.
• Process account opening and maintenance requests, support transaction execution under supervision, and ensure documentation complies with firm policies and regulatory requirements.
• Perform a variety of administrative functions for Financial Advisor(s) and Branch Management, including tracking referrals, supporting marketing initiatives, maintaining required records, and overseeing filing systems that support client service and business development efforts.
• Serve as a liaison with referral sources by reviewing submitted documentation for completeness and forwarding materials to management when appropriate.
• Maintain accurate client records and facilitate the flow of correspondence and account-related documentation.
• Prepare reports, presentations, and other materials that support client reviews and ongoing relationship management.
• Collaborate with advisors, operations teams, and branch personnel to coordinate activities, improve workflows, and enhance operational efficiency.
• Anticipate client and business needs, proactively identify issues, and work toward timely resolution.
• Demonstrate sound judgment, professionalism, confidentiality, and ethical conduct when handling complex client situations.
• Effectively organize, prioritize, and complete multiple tasks while working both independently and collaboratively within a team environment.
• Communicate regularly with clients to support ongoing service needs and strengthen client relationships.

Required Qualifications

• 3+ years of Brokerage and Client Services support experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications

• Strong brokerage client service experience with a proven ability to build relationships, respond effectively to client needs, and deliver professional, customer-focused experience.
• Excellent written and verbal communication skills, including active listening and the ability to explain financial concepts and account information clearly and effectively.
• Strong analytical skills with the ability to review client data, interpret account information, and support the preparation of accurate reports and documentation.
• Foundational knowledge of investment accounts, financial services, and regulatory requirements within a brokerage environment.
• Experience supporting sales and business development efforts, including discussing services, assisting with prospect follow-up, and supporting advisor growth initiatives.
• Administrative support experience within the financial services industry.
• Demonstrated experience interacting directly with clients and providing high-quality service.
• Proficient in Microsoft Office applications, including Word, Excel, Outlook, and PowerPoint.
• Strong client service orientation with the ability to understand customer needs and recommend appropriate solutions.
• Proven ability to prioritize competing responsibilities, meet deadlines, achieve goals, and thrive in a dynamic, fast-paced environment.

Job Expectations

• Maintaining appropriate FINRA registration(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required
• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process
• This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.

Pay Range

$80,000 - $100,000 USD Annual

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills or experience.

Health, dental, and vision insurance options

401(k) retirement plan with employer contributions

Paid time off and holidays

Supportive and collaborative work environment