Job Description

We are seeking a highly skilled and dedicated Senior Registered Client Associate to join our dynamic wealth management team. This role is pivotal in delivering exceptional client service, managing client relationships, and supporting financial advisors in achieving client financial goals. The ideal candidate will bring expertise, professionalism, and a client-centric approach to ensure seamless operations and outstanding client experiences. Key Responsibilities Client Relationship Management : Serve as a primary point of contact for high-net-worth clients, addressing inquiries, resolving issues, and ensuring client satisfaction through personalized service. Account Administration : Oversee account opening, maintenance, and closing processes, ensuring compliance with regulatory requirements and firm policies. Transaction Execution : Process securities transactions, including equities, fixed income, and other investment products, with accuracy and efficiency. Portfolio Support : Assist financial advisors in preparing client reports, performance reviews, and investment proposals tailored to individual client needs. Compliance and Documentation : Maintain accurate client records, ensure adherence to FINRA, SEC, and other regulatory standards, and prepare documentation for audits. Operational Efficiency : Streamline workflows, coordinate with internal teams (e.g., operations, compliance, and trading), and leverage technology to enhance client service delivery. Client Meetings and Communication : Schedule and prepare materials for client meetings, participate in discussions, and follow up on action items to support advisor-client relationships. Qualifications Licenses : Must hold Series 7 and Series 66 (or equivalent) licenses; additional certifications (e.g., CFP) are a plus. Experience : Minimum of 5 years in a client-facing role within wealth management, financial services, or a related field. Education : Bachelor’s degree in finance, business, or a related discipline preferred. Skills : Exceptional interpersonal and communication skills to build trust with clients. Strong organizational abilities with keen attention to detail. Proficiency in financial software (e.g., Bloomberg, Morningstar, or CRM platforms) Ability to multitask in a fast-paced environment while maintaining accuracy. Fluent in Portuguese Attributes : Proactive, team-oriented, and committed to delivering high-quality service.

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