Job Description

Seeking a fully licensed Client Service Manager to serve as a trusted partner to our advisors and clients. Beyond day-to-day account servicing on the Fidelity and/or Schwab platforms, you will use your securities licenses to place trades, discuss investment products and support advisors in delivering recommendations.

Key responsibilities

• Serve as a primary licensed point of contact for clients, answering questions about accounts, holdings, transactions and investment products.
• Enter and execute trades, rebalances and model changes on Fidelity and/or Schwab platforms at the direction of advisors and within firm guidelines.
• Discuss securities, mutual funds, ETFs, fixed income and annuity products with clients in a compliant manner, and help advisors prepare and present recommendations.
• Open, maintain and update accounts on Fidelity (Wealthscape / Fidelity Institutional) and Schwab Advisor Center, including individual, joint, IRA, trust and entity accounts.
• Process money movement, including ACATs, journals, wires, ACH, distributions and RMDs, and resolve NIGO items with custodian service teams.
• Prepare for and attend client review meetings, pulling performance reports, account summaries and planning materials.
• Monitor accounts for cash needs, trade errors and custodial alerts, and escalate issues promptly.
• Maintain accurate CRM records of client contacts, trades and service requests to meet books-and-records requirements.
• Follow all FINRA, SEC and state regulations and firm compliance policies, including suitability, KYC, AML and Regulation Best Interest.
• Mentor junior service staff and recommend process improvements across the service team.

Required qualifications

• Active FINRA Series 7 and Series 63 licenses, plus Series 65 or Series 66 (or the ability to obtain the 65/66 within [90] days of hire).
• SIE exam passed.
• [3–5] years of experience in client service, operations or a licensed support role at a wealth management firm, RIA, broker-dealer or bank.
• Hands-on experience with Fidelity and/or Schwab custodial platforms, including trading, account opening and money movement.
• Solid knowledge of investment products, account types and the regulatory rules that govern them.
• Strong attention to detail, sound judgment and the ability to manage many open requests against deadlines.
• Clear, professional communication with clients, advisors and custodians.
• Proficiency with Microsoft Office, especially Excel and Outlook.
• Bachelor's degree in finance, business, economics or a related field, or equivalent work experience.
• Clean U4 with no disclosures.