Registered Client Service Associate

Firm Background

U.S. Capital Wealth (“USCW”) is an independent full-platform wealth management firm headquartered in Houston, Texas, managing approximately $9 billion in AUM/A across over 5,500 clients and 60 financial advisors. USCW has a strong footprint in Texas across Houston, Austin, Dallas, and Georgetown, as well as offices in New York City and Massachusetts. USCW is majority owned by Arax Investment Partners (“Arax”), a premier wealth management platform company backed by RedBird Capital Partners (“RedBird”).

USCW’s mission is to combine the deep experience and expertise of its financial advisor teams with the significant breadth and depth of its investment strategies and solutions to deliver an exceptional client experience.

Position Description

Title: Registered Client Service Associate, Dallas office OR Houston office

Reports to: Chief Administrative Officer, Houston office

Benefits: Yes

Status: Full-time, non-exempt, on-site

Job Summary

The Registered Client Service Associate has their FINRA Series 7 and/or 66 license.  You enhance the client experience by servicing clients and providing operational and administrative support to Financial Advisors and colleagues. Your knowledge of firm policy, procedures, and technology allows you to interface with clients and prospective clients, anticipate their needs, resolve problems, and follow through to provide exceptional service. You perform administrative duties that support Financial Advisors in their daily business practices (e.g., client meetings, on-boarding new clients, marketing), as well as administrative duties for the office. You maintain risk awareness and regulatory knowledge. You are client service oriented and a team player. You are detail oriented with proven organizational skills, able to manage time efficiently and can multi-task. You have proven written and verbal communication skills.

Duties and Responsibilities

• Interact daily on the phone and in person with prospective and existing clients.
• Act as a key point of contact for client operational matters. Maintain and enhance existing client relationships through the processing of client requests and resolving client inquiries.
• Schedule and prepare reports and agendas for client meetings.
• Onboard new clients and manage account opening process, including the collection of client information and preparation of new account paperwork.
• Create and maintain records and files and ensure firm and industry requirements, rules and regulations are met.
• Perform daily business review of client account activity to ensure overall accuracy.
• Prepare and manage operational process of Traditional and Alternative investment paperwork.
• Execute trade orders and portfolio rebalancing at direction of Advisor
• Complete ad hoc, client-related projects at direction of Advisor as needed.
• Collaborate with team members to service clients in efficient and effective manner.
• Proactively shares knowledge and experiences with new employees and colleagues.
• Uses sound judgment, critical thinking, and clear and professional communication in handling all duties and responsibilities

Qualifications

• Excellent Attitude and comfort in a client facing role with a focus on leading a high touch client service experience
• 2 years client service experience with investment advisory firm or wirehouse
• Active Series 7 and/or 66 licenses
• Experience with portfolio management systems and client reporting, Black Diamond preferred
• Solid understanding or willingness to learn of financial markets and investment securities
• Planning experience or willingness to working with the planning team from initial meetings to ongoing monitoring
• Familiarity with Wealthscape and/or Schwab Advisor Services preferred
• Proficiency in Microsoft Office (Outlook, Excel, Word, and PowerPoint)
• Strong written and verbal communication skills with keen attention to detail
• Ability to multi-task, prioritize and manage time
• Strong problem solving and analytical skills
• Flexibility and willingness to adapt to changes of job duties when the need arises
• Critical thinking, problem-solving and project management skills

Salary and Benefits

• Salary will be based on experience
• Benefits include medical, dental, vision, life, disability and 401(k) (benefits subject to change)
• Paid time off
• Potential for bonus and/or supplemental compensation
• Partial and/or full financial support for professional accreditation/continuing education requirements