Registered Client Associate

Job Description

Harrison Gray Search has partnered with a nationally recognized investment advisory firm with a long-standing reputation for integrity and excellence is seeking a Registered Client Associate to join its expanding team in the Mesa, AZ office. This full-time opportunity has opened due to continued business growth and offers a dynamic environment for career development and advancement.

THE ROLE

The Registered Client Associate plays a critical client-facing role, dedicated to delivering exceptional service that supports clients in achieving their financial goals. As a key liaison between clients and financial professionals, this role requires strong interpersonal, problem-solving, and organizational skills. It also presents the opportunity to contribute meaningfully to a collaborative, service-oriented team culture.

This position reports to the Branch Manager and collaborates closely with assigned financial professionals.

KEY AREAS OF FOCUS

Client & Financial Professional Support

• Serve as the primary point of contact for client service needs via phone, email, and other platforms.
• Schedule and coordinate client meetings.
• Execute account transactions including trades, deposits, withdrawals, rollovers, ACH, and wire transfers.
• Support financial planning by inputting data into MoneyGuidePro and assisting with Riskalyze assessments.
• Facilitate new account setup, ensuring accuracy of information and appropriate follow-up.
• Support onboarding of new financial professionals as needed.
• Coordinate with internal teams such as Compliance, Operations, IT, and Marketing to ensure smooth business processes.
• Stay current on financial markets and assist with portfolio research.
• Identify client needs through service interactions and relay opportunities to financial professionals.
• Support local marketing efforts and contribute to team knowledge-sharing channels.
• Assist with cross-office support and remain up to date with compliance regulations and licensing requirements.

Administrative & Office Operations

• Maintain organized records of client interactions and documentation within CRM systems.
• Manage document workflows using tools such as DocuSign and DocuPace.
• Assist with general office upkeep, including mail handling, greeting clients, and kitchen stocking (as applicable).
• Provide administrative assistance to assigned advisors and the branch manager.
• Participate in the planning of local initiatives or firmwide events hosted at the branch.

Team Engagement & Career Development

• Proactively pursue professional growth through internal training programs and coursework.
• Prepare and submit regular reporting for team tracking and compliance.
• Support expense reporting and team financial oversight.
• Serve as a positive contributor to team culture and morale.

WHAT YOU BRING

• 3–7 years of experience in a client service or financial services role.
• Associate’s degree in Business, Finance, or a related field (Bachelor’s degree preferred).
• Active FINRA Series 7, and Series 63 & 65 (or Series 66) required.
• Proficiency with Microsoft Office Suite and Google Workspace.
• Familiarity with systems such as Concur, RedTail, RBC platforms, AOS, and RedOak.
• Strong initiative, attention to detail, and ability to work collaboratively.

Core Competencies

• Client service, communication, and empathy
• Time management, coordination, and attention to detail
• Problem-solving, reasoning, and critical thinking
• Written and verbal communication
• Active listening and social awareness

WHAT YOU CAN EXPECT

• Competitive base salary (based on experience)
• Performance-based compensation opportunities for specialized assignments
• Comprehensive benefits package including:
• Medical, Dental, and Vision Insurance
• Disability and Life Insurance (with optional supplemental coverage)
• 401(k) with employer match
• Flexible Spending Accounts (FSA)
• Generous PTO including vacation, personal days, sick leave, and volunteer day
• Flexible work schedule