Wealth Management Practice

Client Services Associate Job Summary

We are seeking an organized, proactive, and licensed Client Services Associate to support two experienced financial advisors within our wealth management practice. Supporting professionals with complementary working styles—one focused on technology and automation, and the other on personalized relationship management—this role bridges high-touch client service and operational efficiency. In this primarily remote position based in the Bay Area, you will serve as the primary point of contact for client inquiries, manage new account onboarding, coordinate meeting prep and follow-ups, and execute custodial workflows. The ideal candidate is adaptable, comfortable using financial technology (FinTech) and CRMs, and committed to delivering exceptional client service.

Client Services Associate Duties and Responsibilities

• Serve as the main point of contact for client service requests, account inquiries, and day-to-day communications.
• Prepare, submit, and process new account documentation, transfers (ACATs), beneficiary updates, and money movement requests (ACH, wires, checks).
• Coordinate advisor calendars, schedule client review meetings, prepare presentation materials, and record detailed meeting notes and action items.
• Create new accounts, establish portal access, and maintain client portfolios and records across custodial platforms and CRM systems.
• Monitor compliance requirements, audit trails, and operational workflows to ensure regulatory adherence and risk mitigation.
• Identify process bottlenecks and leverage technology, automation, and CRM tools to streamline administrative operations.
• Perform essential administrative, clerical, and scheduling duties to allow advisors to focus on financial planning and business growth.

Client Services Associate Requirements and Qualifications

• High school diploma or equivalent; Bachelor’s degree in Finance, Business Administration, Economics, or a related field strongly preferred.
• Active FINRA Series 7 and Series 66 (or Series 63/65) licenses required.
• 2+ years of experience as a Client Service Associate (CSA), Registered Client Associate, or Operations Specialist in wealth management, financial planning, or RIA/broker-dealer operations.
• Direct experience navigating major custodial platforms (e.g., Charles Schwab, Fidelity, Pershing) and financial CRM software (e.g., Wealthbox, Redtail, Salesforce).
• Advanced proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, Outlook) and a high aptitude for learning new FinTech tools.
• Exceptional written and verbal communication skills, high emotional intelligence, and rigorous attention to detail.
• Ability to work independently in a remote environment, prioritize tasks, and handle sensitive financial data with discretion.

We are an established independent wealth management practice serving successful individuals, families, and business owners throughout the Bay Area and beyond. We pride ourselves on delivering exceptional client service while combining thoughtful financial planning with efficient, technology-driven operations.