Client Service Associate - Broker Dealer - Series 7 Job at Ascendo Resources, Boca Raton, FL

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  • Ascendo Resources
  • Boca Raton, FL

Job Description

Job Description

Client Service Associate – Wealth Management

We’re partnering with a well-established financial institution that’s looking to add a registered (Series 7) Client Service Associate to their team. This is an exciting opportunity for someone who thrives in a fast-paced, client-first environment and has experience supporting financial advisors in the investment services space.

What You’ll Do:

  • Assist with the onboarding of new client accounts and ensure all documentation is complete and accurate
  • Handle ongoing account maintenance and operational requests (e.g., address changes, wire transfers, check requests)
  • Maintain organized records of client activity, account documents, and branch-level files
  • Respond to client inquiries, provide account info, order entry, and support advisors with daily operational needs
  • Flag and escalate any unusual client activity or concerns to advisors or branch leadership
  • Support the Financial Advisors with other assignments

What You Bring:

  • 2+ years of experience in the investment or wealth management industry
  • Strong administrative and client service skills
  • Familiarity with investment products and basic securities regulations
  • Excellent communication, time management, and critical thinking skills
  • Ability to manage multiple tasks while delivering a top-tier client experience

Requirements:

  • Active FINRA Series 7 required
  • 2+ years of recent experience working in CSA functions
  • Location: Boca Raton, FL (on site only, no remote)

Licensing:

  • Active FINRA Series 7 and 63 or 66

Job Tags

Remote work,

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