What are the responsibilities and job description for the Registered Client Service Associate position at NPAworldwide?
Job Description
Registered Client Service Associate
Location: Cheshire, CT
Work Arrangement: In-office (5 days per week, possible flexibility to 4)
Compensation Range: $70k to $105k base, doe
Please note: While traditional medical benefits are not currently offered, the firm provides a generous monthly medical stipend to help support healthcare expenses.
Our client is a boutique, independent wealth management firm known for its highly personalized approach to retirement and financial planning. The firm partners closely with individuals and families to bring clarity and confidence to their financial lives by thoughtfully aligning investment strategy, income planning, tax coordination, healthcare considerations, and legacy goals.
Role Overview
This is an excellent opportunity for a client service professional who enjoys being deeply involved, values strong relationships, and wants to play an important role within a small, collaborative advisory team. The Registered Client Service Associate serves as a trusted partner to both clients and advisors, ensuring that every interaction is handled with care, precision, and follow-through.
The role offers broad exposure across client service, operations, and planning support, making it ideal for someone who takes pride in being a steady, reliable presence for clients while helping the firm operate smoothly behind the scenes.
Key Responsibilities Of The Registered CSA
Client Relationship Management
Act as a primary point of contact for clients, providing thoughtful, responsive, and professional support
Assist with onboarding new clients, guiding them through account setup and documentation with care and attention to detail
Prepare materials for client review meetings so advisors and clients feel organized and well supported
Maintain accurate, up-to-date client records within the CRM system
Administrative and Compliance Support
Prepare and process account-related paperwork, including openings, transfers, distributions, and Roth conversions
Support compliance requirements and documentation in alignment with regulatory standards
Manage client correspondence across phone, email, and mail with a high level of professionalism
Operational and Investment Support
Monitor client accounts, including cash balances, pending transactions, and routine maintenance
Support trade execution and investment workflows as directed by advisors
Assist with financial planning support by gathering data, updating planning tools, and reviewing outputs
Work across the firms technology platforms, including CRM, financial planning, and reporting systems
Business Development and Firm Support
Help prepare client-facing presentations and proposals
Support marketing initiatives, client events, and referral activity
Contribute to a positive, team-oriented environment where everyone pitches in
Qualifications
Qualifications of the Registered CSA:
2 to 3 years of experience in a client service or operations role within a financial advisory (RIA, Broker Dealer) and/or wealth management firm
Series 7 or Series 6 and Series 63 or 66 required
CFP designation is a plus
Bachelors degree in Finance, Business, Economics, or a related field preferred
Proficiency with financial planning software, CRM systems, and Microsoft Office
Experience with any of the following software platforms is a plus: Asset-Map, Black Diamond (Client Portal and Performance
Reporting), eMoney, Excel, Holistiplan (Tax Planning), Income Conductor (Retirement Income Planning), Salesforce CRM
Genuine commitment to delivering exceptional client service
Strong communication skills with a calm, professional presence
Excellent organizational and multitasking skills, with the ability to pivot and prioritize as needed while remaining thoughtful, composed, and client focused.
Interest in a long-term career in wealth management client service and/or operations
Comfort working closely with advisors, clients, and a small team
Proactive, positive energy and clear passion for what you do
Why Is This a Great Opportunity
What Our Client Offers:
A welcoming, close-knit team environment where relationships truly matter
Long-term stability within a growing independent advisory firm
Tremendous opportunities for learning and growth in client service and operations as the firm continues to grow
Profit sharing, 401(k) contribution, generous PTO, and a medical stipend to support healthcare expenses
Registered Client Service Associate
Location: Cheshire, CT
Work Arrangement: In-office (5 days per week, possible flexibility to 4)
Compensation Range: $70k to $105k base, doe
Please note: While traditional medical benefits are not currently offered, the firm provides a generous monthly medical stipend to help support healthcare expenses.
Our client is a boutique, independent wealth management firm known for its highly personalized approach to retirement and financial planning. The firm partners closely with individuals and families to bring clarity and confidence to their financial lives by thoughtfully aligning investment strategy, income planning, tax coordination, healthcare considerations, and legacy goals.
Role Overview
This is an excellent opportunity for a client service professional who enjoys being deeply involved, values strong relationships, and wants to play an important role within a small, collaborative advisory team. The Registered Client Service Associate serves as a trusted partner to both clients and advisors, ensuring that every interaction is handled with care, precision, and follow-through.
The role offers broad exposure across client service, operations, and planning support, making it ideal for someone who takes pride in being a steady, reliable presence for clients while helping the firm operate smoothly behind the scenes.
Key Responsibilities Of The Registered CSA
Client Relationship Management
Act as a primary point of contact for clients, providing thoughtful, responsive, and professional support
Assist with onboarding new clients, guiding them through account setup and documentation with care and attention to detail
Prepare materials for client review meetings so advisors and clients feel organized and well supported
Maintain accurate, up-to-date client records within the CRM system
Administrative and Compliance Support
Prepare and process account-related paperwork, including openings, transfers, distributions, and Roth conversions
Support compliance requirements and documentation in alignment with regulatory standards
Manage client correspondence across phone, email, and mail with a high level of professionalism
Operational and Investment Support
Monitor client accounts, including cash balances, pending transactions, and routine maintenance
Support trade execution and investment workflows as directed by advisors
Assist with financial planning support by gathering data, updating planning tools, and reviewing outputs
Work across the firms technology platforms, including CRM, financial planning, and reporting systems
Business Development and Firm Support
Help prepare client-facing presentations and proposals
Support marketing initiatives, client events, and referral activity
Contribute to a positive, team-oriented environment where everyone pitches in
Qualifications
Qualifications of the Registered CSA:
2 to 3 years of experience in a client service or operations role within a financial advisory (RIA, Broker Dealer) and/or wealth management firm
Series 7 or Series 6 and Series 63 or 66 required
CFP designation is a plus
Bachelors degree in Finance, Business, Economics, or a related field preferred
Proficiency with financial planning software, CRM systems, and Microsoft Office
Experience with any of the following software platforms is a plus: Asset-Map, Black Diamond (Client Portal and Performance
Reporting), eMoney, Excel, Holistiplan (Tax Planning), Income Conductor (Retirement Income Planning), Salesforce CRM
Genuine commitment to delivering exceptional client service
Strong communication skills with a calm, professional presence
Excellent organizational and multitasking skills, with the ability to pivot and prioritize as needed while remaining thoughtful, composed, and client focused.
Interest in a long-term career in wealth management client service and/or operations
Comfort working closely with advisors, clients, and a small team
Proactive, positive energy and clear passion for what you do
Why Is This a Great Opportunity
What Our Client Offers:
A welcoming, close-knit team environment where relationships truly matter
Long-term stability within a growing independent advisory firm
Tremendous opportunities for learning and growth in client service and operations as the firm continues to grow
Profit sharing, 401(k) contribution, generous PTO, and a medical stipend to support healthcare expenses
Salary : $70,000 - $105,000