Registered Client Service Associate

Position Overview

The Registered Client Service Associate plays a key role in supporting advisors, enhancing client experience, and identifying growth opportunities within the firm’s existing client base. This position requires strong technical knowledge, regulatory awareness, and the ability to handle complex service matters while proactively supporting business development initiatives.

This individual will serve as an internal subject matter expert in retirement plans and best interest standards, while ensuring operational excellence and regulatory alignment.

Key Responsibilities

Regulatory & Best Interest Oversight

• Create, implement, and maintain the firm’s internal Best Interest Guide, including serving as the annuity best interest lead.
• Ensure documentation and case preparation align with regulatory standards and firm policies.
• Support advisors in preparing compliant and well-documented recommendations.

Advanced Client Service & Case Preparation

• Handle higher-level client service inquiries and complex case preparation matters.
• Troubleshoot advanced product, operational, and planning questions.
• Prepare documentation and coordinate processing for complex transactions.
• With direct instructions, place trades on behalf of the advisors.

Subject Matter Expertise

• Serve as the firm’s expert for retirement plan analysis and benchmarking.
• Maintain proficiency and provide internal support for financial planning software.
• Serve as the firm’s Life Illustration systems expert

Business Development Support

• Assist advisors in identifying new sales opportunities within the existing book of business, including:
• Deepening relationships with business owners and clients’ families – communicate potential opportunities to advisors
• Utilize resources to proactively monitor client accounts for planning opportunities (annuities out of surrender) and engagement triggers

Retirement Plan & Benefit Event Coordination

• Serve as the primary operations and coordination lead for retirement plans as assigned.
• Track and follow up on participant-level events within retirement plans.
• Coordinate rollover conversations and next-step planning opportunities.
• Support advisors in strengthening plan sponsor and participant relationships.

Additional Responsibilities

• Support firm-wide operational initiatives.
• Contribute to process improvement efforts.
• Perform other duties as assigned.

Qualifications

• Active Iowa Life Insurance License (Life and Health & Accident).
• Active securities registration (SIE and Series 7) or ability to obtain in 9 months.

Join us as a Registered Client Service Associate and become an integral part of a vibrant team dedicated to delivering outstanding client experiences through innovative solutions. Your expertise will help shape meaningful relationships while advancing your career in a supportive, energetic environment.

Pay: $22.00 - $27.00 per hour

Expected hours: 40.0 per week

Benefits:

• 401(k)
• Health insurance
• Paid time off

Work Location: In person