Wealth Management Client Associate

The Pines Wealth Management; Southern Pines (NC); On-site; USD 63,000 - 77,000; Full time

Job summary

The Pines Wealth Management seeks a Wealth Management Client Associate to support multiple financial advisors in a growing registered investment advisory firm. You will deliver high levels of client service, assist with investment operations, and help maintain efficient day-to-day workflows for the team.

The ideal candidate will have strong operational experience in wealth management and hold an active securities license (Series 7 preferred), with a desire for long-term growth within the firm.

Qualifications

• Active Series 7 license (preferred)
• Series 66 or willingness to obtain
• 3+ years experience in wealth management and financial services
• College Degree

Responsibilities

• Serve as a primary point of contact for client service needs
• Assist with account inquiries, service requests, and follow‑up
• Coordinate client meetings and prepare meeting materials
• Maintain accurate client records and CRM updates
• Process account opening and maintenance paperwork through our custodian
• Facilitate ACAT transfers and money movement requests
• Track client service workflows and outstanding items
• Assist with SEC Compliance processes and documentation
• Contribute to improving operational efficiency

Skills

Active Series 7 license

Series 66 willingness to obtain

Wealth management experience

College degree

Education

College degree

Job description

The Pines Wealth Management

Job Title: Wealth Management Client Associate

Location: Southern Pines, NC

Company Description

The Pines Wealth Management (TPWM) is Registered Investment Advisory (RIA) firm that focuses on comprehensive financial planning and discretionary asset management for affluent individuals, companies and institutions.TPWM specializes in goals-based planning for retirement, education, legacy and all-encompassing financial life objectives.

TPWMs Advisors and Associates help clients pursue and achieve the life they envision through personal relationships committed to their needs. The foundation of our client relationship is mutual trust and ongoing transparent dialogue. TPWM assists clients with all aspects of their financial lives.

TPWM is committed to a balanced work-life culture with specific requirements for office-based attendance while allowing for flexibility in consideration of individual needs, unique circumstances and role‑specific standards.

TPWM is committed to value based ethical growth with client needs and situations always at the forefront of our advice and decision‑making processes.

Position Summary

We are seeking a detail-oriented and client-focused Wealth Management Client Associate to support multiple financial advisors in a growing Registered Investment Advisory (RIA) firm. This role is responsible for delivering a high level of service to clients, supporting advisors with investment operations, and helping maintain efficient day‑to‑day workflow across the team. The ideal candidate will have strong operational experience in wealth management and hold an active securities license (Series 7 preferred).

Key Responsibilities

• Serve as a primary point of contact for client service needs
• Assist with account inquiries, service requests, and follow‑up
• Coordinate client meetings and prepare meeting materials
• Maintain accurate client records and CRM updates
• Process account opening and maintenance paperwork through our custodian
• Facilitate ACAT transfers and money movement requests
• Track client service workflows and outstanding items
• Assist with SEC Compliance processes and documentation
• Contribute to improving operational efficiency

Preferred Skills

• Experience in Wealth Management Services (i.e.: RIA, BD, WH)
• Proficiency in financial planning concepts
• Strong knowledge of account servicing and wealth management operations
• Ability to manage to triage, prioritize and manage competing priorities.
• High attention to detail and organizational skills
• Professional communication and client service mindset
• Desire for long‑term career growth in wealth management

Required Education/Qualifications

• Active Series 7 license (preferred)
• Series 66 or willingness to obtain
• 3 + years experience in wealth management and financial services
• College Degree

Compensation & Benefits

• Competitive base salary: $70,000 + (experience considered)
• Performance‑based bonus opportunity
• Retirement plan and health benefits
• Paid time off and holidays
• Professional development and licensing support