Client Services Associate Registered Broker-Dealer / Registered Investment Advisor Department: Client Services / Support Staff Reports To: Senior Administrative Officer Location: Albany, NY Position Summary The Client Services Associate provides front-line support to financial advisors, clients, and internal operations teams within a dual-registered broker-dealer/registered investment advisor (RIA) firm. This role serves as a key liaison between clients and advisors, handling account administration, trade support, client inquiries, and compliance-related documentation. The ideal candidate is detail-oriented, service-driven, and comfortable navigating both brokerage and advisory account environments. Key Responsibilities Client Support & Communication • •Serve as a primary point of contact for client inquiries regarding account status, transactions, statements, and general service requests • •Respond to client and advisor requests promptly and professionally via phone, email, and in-person interactions • •Assist in scheduling client meetings and preparing meeting materials, including portfolio reports and account summaries • •Process new account openings, account maintenance, transfers (ACATS), and account closures for both brokerage and advisory accounts • •Ensure all required documentation (KYC, suitability, account agreements) is accurately completed and properly filed • •Maintain and update client records in CRM and portfolio management systems (e.g., Salesforce, Redtail, Orion, Envestnet) • •Assist with trade entry, order confirmations, and trade error resolution under advisor supervision • •Process money movements including wires, ACH transfers, journal entries, and check requests • •Monitor pending transactions and follow up to ensure timely settlement • •Support adherence to FINRA, SEC, and state regulatory requirements, as well as firm policies and procedures • •Assist with maintaining books and records in accordance with regulatory retention requirements • •Flag and escalate potential compliance concerns (e.g., suitability issues, unusual account activity) to appropriate supervisory personnel • •Support completion of required disclosures, Form ADV delivery, and privacy notice distribution • •Prepare and process paperwork related to account transfers, beneficiary changes, and required minimum distributions (RMDs) • •Coordinate with custodians (e.g., Wells Fargo, Schwab, direct) on account-related matters • •Support billing processes for advisory fee calculations and invoicing • •Assist with special projects, audits, and regulatory exams as needed • •High school diploma required; degree in finance, business, or related field preferred • •1–3+ years of experience in a broker-dealer, RIA, or financial services support role • •Working knowledge of brokerage and advisory account types, products, and industry terminology • •Strong organizational skills with high attention to detail and accuracy • •Excellent written and verbal communication skills • •Proficiency in Microsoft Office (Excel, Word, Outlook) and CRM/portfolio management platforms • •FINRA Series 7 and Series 63/65/66 licenses (or willingness to obtain within a defined timeframe) • •Familiarity with custodial platforms (Advisor Gateway, Schwab Advisor Services, American Funds, etc) • •Understanding of regulatory frameworks including FINRA rules, SEC regulations, and the Investment Advisers Act of 1940 • •Client service orientation and professionalism • •Discretion in handling confidential client and financial information • •Ability to multitask and prioritize in a fast-paced, deadline-driven environment • •Team collaboration with advisors, operations, and compliance staff • •Problem-solving and follow-through on outstanding items • •Standard office environment; occasional extended hours during peak periods (e.g., tax season, market volatility) • •May require occasional travel for training or firm events Account Administration Trade & Transaction Support Compliance & Risk Management Operational & Administrative Support Qualifications Required Preferred Core Competencies Working Conditions Compensation Salary $55,000+ commensurate with experience, licensing, etc