Senior Registered Client Service Associate

Wilde Wealth Management Group; Scottsdale (AZ); On-site; USD 110,000 - 155,000; Full time

Benefits offered by this job

Salary plus bonuses

Paid time off plus birthday leave

9 paid holidays per year

401(k) with 4% match

Tuition reimbursement

Summer Hours

Job summary

Wilde Wealth Management Group seeks an experienced Senior Registered Advisor Support Associate to join our growing team in the Phoenix Valley. You will serve as the primary client service partner for senior Financial Advisors and high-net-worth relationships, managing complex account servicing and executing securities trades.

The role requires 8+ years in wealth management or brokerage, active FINRA licenses, and deep knowledge of investment operations and regulatory compliance, with a focus on

Qualifications

• Minimum 8 years of experience in an advisory or brokerage firm.
• Active FINRA Series 7 license and Active Series 63 or Series 66 license required.
• Extensive knowledge of brokerage operations, advisory accounts, retirement accounts, and investment products.
• Advanced experience processing securities trades, account servicing, and money movement transactions.
• High attention to detail with the ability to manage multiple priorities in a deadline-driven environment.
• Demonstrated ability to independently manage complex client relationships and advisor support.
• Excellent verbal and written communication
• Strong working knowledge of Microsoft Office suite

Responsibilities

• Serve as the primary client service contact for one or more Financial Advisors and their client relationships.
• Execute securities trades in accordance with firm policies and regulatory requirements.
• Independently manage a high-volume, high-complexity book of business consisting of approximately 400-800 client households.
• Assist with testing, implementation, and rollout of new technology, workflows, and operational procedures.
• Mentor and provide guidance to Client Service Representatives and Registered Client Service Representatives on complex servicing scenarios and best practices.
• Serve as a subject matter expert for investment operations, firm procedures, and client service standards.
• Prepare and process account service paperwork and applications
• Run reports and prepare documents necessary for quarterly client portfolio reviews
• Maintain files, both electronic and physical
• Take detailed notes in CRM (Redtail) on all processes and client interactions
• Follow all standard operating procedures to ensure steps of service are being met, as well as maintaining compliance standards
• Work behind the scenes with our in-house partners to alleviate the demands on our mutual clients; pull account statements, tax documents, ownership/beneficiary change paperwork, etc.
• Assist with other office functions such as mailings, call campaigns, answering phones, greeting clients, filing, maintaining break areas, ordering supplies, and all other duties as assigned

Skills

Active FINRA Series 7 license

Active Series 63 or 66 license

Strong verbal and writtenCommunication

Experience mentoring junior staff

Industry knowledge of brokerage ops

Attention to detail

Tools

Redtail CRM

Albridge

Pershing

Microsoft Office

Job description

We are seeking an experienced Senior Registered Advisor Support Associate to join our growing team. The ideal candidate will have a minimum of eight years of experience in a wealth management, advisory, or brokerage environment, maintain active FINRA registrations, and possess advanced knowledge of investment operations and client service.

As a Senior Registered Advisor Support Associate, you will serve as the primary client service partner for senior Financial Advisors and high-net-worth client relationships. This role is responsible for managing complex account servicing, executing securities trades, ensuring regulatory compliance, and delivering an exceptional client experience while serving as a trusted resource to advisors and fellow team members.

The Senior Registered Advisor Support Associate is expected to operate independently, exercise sound judgment, mentor junior team members, and contribute to the ongoing improvement of department processes and service standards.

Role Description

This position is full-time and based in one of our Phoenix Valley office locations. Duties include, but not limited to:

• Serve as the primary client service contact for one or more Financial Advisors and their client relationships.
• Execute securities trades in accordance with firm policies and regulatory requirements.
• Independently manage a high-volume, high-complexity book of business consisting of approximately 400-800 client households.
• Assist with testing, implementation, and rollout of new technology, workflows, and operational procedures.
• Mentor and provide guidance to Client Service Representatives and Registered Client Service Representatives on complex servicing scenarios and best practices
• Serve as a subject matter expert for investment operations, firm procedures, and client service standards.
• Prepare and process account service paperwork and applications
• Run reports and prepare documents necessary for quarterly client portfolio reviews
• Maintain files, both electronic and physical
• Take detailed notes in CRM (Redtail) on all processes and client interactions
• Follow all standard operating procedures to ensure steps of service are being met, as well as maintaining compliance standards
• Work behind the scenes with our in-house partners to alleviate the demands on our mutual clients; pull account statements, tax documents, ownership/beneficiary change paperwork, etc.
• Assist with other office functions such as mailings, call campaigns, answering phones, greeting clients, filing, maintaining break areas, ordering supplies, and all other duties as assigned

Qualifications

• Minimum 8 years of experience in an advisory or brokerage firm
• Active FINRA Series 7 license and Active Series 63 or Series 66 license required
• Extensive knowledge of brokerage operations, advisory accounts, retirement accounts, and investment products.
• Advanced experience processing securities trades, account servicing, and money movement transactions.
• High attention to detail with the ability to manage multiple priorities in a deadline-driven environment.
• Demonstrated ability to independently manage complex client relationships and advisor support.
• Excellent verbal and written communication
• Strong working knowledge of Microsoft Office suite

Candidate with the following preferred

• Redtail CRM, Albridge and/or Pershing experience
• Notary
• Working knowledge of insurance, annuities, TPMM, PCRAs, QRPs, pensions
• Working knowledge of the custodian Pershing, LLC
• Experience supporting high-net-worth clients and Financial Advisors within an independent RIA or hybrid advisory firm.
• Previous experience mentoring or training client service professionals.

Compensation and Benefits

• Full-time, salaried position; salary depends on experience and licensing
• Base salary plus monthly achievement-based bonuses
• PTO, plus an additional paid day off for your birthday. (Additional PTO awarded through tenure.)
• 9 paid holidays per year
• Summer Hours in June & July
• 401(k) with 4% match after 1-year of service
• Monthly awards of cash & prizes for selfless Team Players
• Annual $2k tuition reimbursement available after 6 months of service

Wilde Wealth Management Group is an award-winning independent advisory firm that provides comprehensive retirement, investment, real estate, insurance, legal and tax planning services all under one roof. A fee-based firm with in-house Independent Investment Advisors, Certified Financial Planners(TM), Certified Public Accountants, attorneys, and mortgage and insurance specialists all working together toward clients’ diverse goals, the firm has been recognized by Forbes as among "The Most Dependable Wealth Managers in the Southwest" and has been named to Barron’s "List of Top 1,000 Advisors" annually for a decade. Currently, Wilde Wealth Management Group has more than $3.4 Billion in assets under management and 7 offices across Arizona located in Scottsdale, Glendale, Sun City, Chandler, Payson, Sedona, and Tucson.