Bilingual Senior Client Services Associate

**POSITION SUMMARY **

The Senior Client Services Associate – FINRA Licensed is a senior-level client service and operational support role responsible for managing complex client service matters, coordinating account maintenance and onboarding workflows, supporting the Wealth Management team, and serving as an experienced point of escalation for client-facing and back-office matters. This position requires strong relationship management skills, advanced knowledge of brokerage and investment account processes, high attention to regulatory requirements, and active FINRA registrations. The role is expected to exercise sound judgment, maintain strict confidentiality, and ensure that client instructions, documentation, account changes, service requests, and securities-related support activities are handled accurately, timely, and in accordance with applicable policies and supervisory procedures.

ESSENTIAL DUTIES AND RESPONSIBILITIES

·  Act as a senior point of contact for high-complexity client service requests, account maintenance issues, operational escalations, and follow-up matters for the Wealth Management team.

·  Process, review, and coordinate client paperwork, applications, maintenance forms, account opening documentation, address changes, beneficiary updates, transfer requests, and other documentation required to support client business transactions.

·  Support registered Wealth Management professionals with securities-related service activities within the scope permitted by the employee’s licenses, registrations, firm policies, and supervisory procedures.

·  Assist with the preparation, review, and follow-up of client reports, service dashboards, operational trackers, and documentation status reports to support timely resolution of pending matters.

·  Maintain CRM software and contact management records, ensuring client profiles, service notes, pending items, follow-up dates, and interaction histories are accurate and current.

·  Coordinate with internal departments, custodians, platforms, compliance, operations, and supervisory personnel to resolve client service, account administration, and documentation matters.

·  Monitor client service issues and new business transactions in progress, identify delays or exceptions, and report status updates to the Wealth Management team and appropriate management personnel.

·  Apply working knowledge of investment products, brokerage account structures, operational workflows, and regulatory considerations to support accurate and compliant service delivery.

·  Exercise judgment when handling client inquiries and escalate advisory, discretionary, suitability, complaint, trading, or compliance-sensitive matters to the appropriate registered or supervisory personnel.

·  Support onboarding, training, and knowledge-sharing for junior client service personnel, including guidance on workflow standards, documentation quality, service protocols, and operational best practices.

·  Protect confidential client and business information and comply with applicable internal policies, information security requirements, and document retention practices.

·  Perform other related duties and special projects as assigned.

QUALIFICATIONS

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and ability required for a senior client service role in a regulated financial services environment.

EDUCATION AND EXPERIENCE

·  Bachelor's degree in Finance, Business Administration, Economics, Accounting, or a related field required; equivalent relevant experience may be considered where appropriate.

·  Minimum of 5 to 7 years of experience in financial services, wealth management, brokerage operations, client service, registered representative support, or a closely related role preferred.

·  Demonstrated experience handling complex client service matters, account documentation, new account processes, account maintenance, transfers, and service escalations.

·  Strong understanding of investment account operations, brokerage platforms, custodial workflows, CRM systems, client documentation standards, and regulated financial services environments.

·  Advanced proficiency with Microsoft Office, CRM software, reporting tools, and client service tracking systems.

·  Strong organizational, prioritization, follow-through, problem-solving, and time-management skills, with the ability to manage multiple deadlines and high-volume service requests.

·  Professional communication skills and proven ability to interact with clients, internal teams, management, compliance, operations, and external service providers.

LICENSES AND REGISTRATIONS

·  Active FINRA Securities Industry Essentials (SIE) credential required, unless otherwise exempt under applicable rules.

·  Active FINRA Series 7 registration required.

·  Active FINRA Series 66 registration preferred; alternatively, Series 63 and Series 65 may be acceptable depending on business need and applicable registration requirements.

·  Must be eligible to maintain required securities registrations and state registrations in good standing, including any firm-sponsored registrations required for the position.

·  Must comply with all continuing education, disclosure, licensing, registration, and supervisory requirements applicable to the role.

·  Clean and timely regulatory disclosure history preferred; any reportable matters must be disclosed and reviewed in accordance with firm procedures.

LANGUAGE SKILLS

Fully bilingual in English and Spanish required. Must be able to communicate professionally and accurately with clients and internal stakeholders in both languages, including written correspondence, service updates, and documentation follow-up.

MATHEMATICAL SKILLS

Ability to apply mathematical concepts such as fractions, percentages, ratios, proportions, probability, statistical inference, and practical financial calculations. Strong quantitative, analytical, and market-related reasoning skills are required.

REASONING ABILITY

Ability to define problems, collect data, establish facts, assess documentation and operational requirements, and draw valid conclusions. Must be able to interpret technical instructions, identify service or compliance risks, prioritize competing matters, and escalate appropriately.

PHYSICAL DEMANDS

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job, the employee is regularly required to sit, talk, and hear. The employee is occasionally required to stand, walk, and reach with hands and arms. The employee must occasionally lift and/or move up to 50 pounds.

WORK ENVIRONMENT

Collaborative professional office environment with the tools, technology, and workspaces needed for effective teamwork, client service, confidentiality, and productivity. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.