Client Services Principal

Client Services PrincipalCompensation $75,000 Base Salary 10% BonusLocation: Tempe, AZSchedule: Hybrid Schedule – 4 Days In Office / Remote FridaysPosition Overview

A growing wealth management and financial services platform is seeking a Client Services Principal to serve as a senior individual contributor and subject matter expert within the Account Services function. This individual will play a critical role in principal review, operational oversight, regulatory compliance, and departmental process governance while acting as a strategic partner to leadership.

The ideal candidate will possess strong financial services operations experience, deep regulatory knowledge, and the ability to independently manage complex documentation review, escalated operational issues, reporting initiatives, and process improvement efforts. This role functions as a lead-level position without direct reports and will serve as a key right-hand partner to management within the department.

This opportunity is ideal for a highly detail-oriented operations and compliance professional who thrives in fast-paced environments and enjoys balancing technical review responsibilities with operational leadership and strategic initiatives.

Key ResponsibilitiesPrincipal Review & Regulatory Oversight

• Conduct comprehensive principal review of complex client documentation including:
  
  • Power of Attorney documents
  • Corporate resolutions
  • Articles of Incorporation
  • LLC Agreements and Articles
  • Margin applications
  • Checkwriting applications
• Ensure all documentation meets FINRA, SEC, and internal compliance requirements
• Identify and resolve complex Not-In-Good-Order (NIGO) issues and operational exceptions
• Partner directly with advisors, legal, compliance, and internal stakeholders on escalated review matters
• Maintain current knowledge of evolving industry regulations and internal policies

Program Ownership & Process Management

• Serve as primary owner and subject matter expert for the signature guarantee program
• Develop, maintain, and communicate policies, procedures, and operational risk controls
• Manage the lifecycle of all client service forms from creation and legal review through implementation and updates
• Ensure forms remain compliant, accurate, and user-friendly
• Provide guidance and training to internal team members regarding forms and signature guarantee processes

Reporting & Operational Analytics

• Design and deliver weekly and quarterly operational and compliance reporting
• Analyze operational metrics, trends, and risk indicators
• Translate data into actionable recommendations for process improvements and risk mitigation
• Proactively identify reporting and operational data needs

Leadership & Cross-Functional Collaboration

• Support managers with departmental initiatives and project management responsibilities
• Lead project workstreams and coordinate timelines, deliverables, and implementation efforts
• Collaborate cross-functionally on operational changes, regulatory initiatives, and process enhancements
• Serve as escalation point and operational expert for complex client service issues
• Mentor junior Client Service Associates and Specialists on operational procedures and compliance matters
• Contribute to continuous improvement initiatives and operational best practices

QualificationsRequired Experience

• 5 years of experience within financial services operations
• Strong background in:
  
  • Principal review
  • Financial services operations
  • Compliance oversight
  • Operational program management
• Demonstrated experience reviewing complex legal and account documentation
• Deep understanding of:
  
  • FINRA regulations
  • SEC regulations
  • Client account operational requirements
  • Regulatory review standards
• Ability to independently manage high-level operational and compliance responsibilities

Required Licenses

• FINRA Series 7 License
• FINRA Series 24 License
• FINRA Series 63 or 66 License

Preferred Skills

• Strong analytical and reporting capabilities
• Excellent written and verbal communication skills
• Ability to explain complex operational and regulatory concepts clearly
• Experience developing policies, procedures, and operational controls
• Experience mentoring or training team members
• Strong project management and organizational skills
  

MOHR Talent is an equal-opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at hr@themohrgrp.com