Client Relationship Associate Position Available In Broward, Florida

The Client Relationship Associate plays a critical support role within a broker-dealer environment by assisting Financial Advisors in delivering exceptional service to clients. This position is ideal for a FINRA-licensed professional who is detail-oriented, proactive, and client-focused, with a strong understanding of investment products and brokerage operations.

Key Responsibilities:

Serve as the primary point of contact for client inquiries, ensuring prompt and accurate responses. Support Financial Advisors in account management, client onboarding, and investment transactions. Prepare, process, and follow up on client documentation including new account paperwork, asset transfers, and service requests. Execute trades as directed by Financial Advisors (if licensed and authorized). Maintain compliance with FINRA, SEC, and internal policies and procedures. Assist with client reporting, account reviews, and preparation of meeting materials. Maintain CRM and client databases with up-to-date information. Support marketing efforts such as client events, newsletters, and client communications.

Requirements:

Active FINRA Series 7 and 63 (or 66) licenses preferred. 2+ years of experience in a client service or sales support role within a broker-dealer or wealth management firm. Strong knowledge of investment products, brokerage operations, and compliance regulations. Proficient in Microsoft Office Suite and client management systems (e.g., Salesforce, Pershing, Fidelity, Schwab). Excellent communication, organizational, and problem-solving skills. Ability to manage multiple priorities in a fast-paced environment.