Job Summary

Carpion Private Wealth is seeking a dedicated, detail-oriented, and self-starting Registered Client Service Associate to join our team. The ideal candidate is tech-savvy, has high standards for client service, and excels in communication. A strong background in financial services, exceptional organizational and technology skills, and a proactive approach are essential for success in this role. The candidate will be a primary point of contact for clients, supporting the onboarding, maintenance, and ongoing service of brokerage and advisory accounts. This individual will work closely with firm's partners and financial advisors, operations teams, and compliance to ensure a seamless client experience, accurate processing of trades and transactions, and adherence to regulatory requirements.

Key Responsibilities

Client Onboarding & Account Maintenance
Guide new clients through account opening, including gathering and reviewing all required documentation (W-9, suitability forms, etc.)
Perform due diligence and “Know Your Customer” (KYC) checks in partnership with Compliance
Update client records for life‐event changes, transfers, beneficiary updates, and account closures
Trade & Transaction Support
Process equity, fixed income, mutual fund, and alternative investment trades accurately and in a timely manner
Monitor trade confirmations, settle discrepancies, and liaise with custodians or clearing firms
Reconcile daily money movements (withdrawals, deposits, fees, margin calls)
Client Service & Communication
Respond promptly to inbound client inquiries via phone, email, and secure messaging
Prepare and distribute quarterly statements, performance reports, tax documents, and ad hoc client deliverables
Coordinate meeting logistics and materials for advisor‐client reviews
Regulatory & Compliance
Maintain Series 7 (General Securities Representative) and Series 63/66 (Uniform Securities Agent State Law) registrations
Assist with internal and external audits by compiling request lists and supporting documentation
Stay current on industry regulations (SEC, FINRA) and firm policies
Process Improvement & Collaboration
Identify opportunities to streamline workflows, automate manual processes, and enhance service levels
Partner with Operations, Technology, and Compliance teams to implement new tools and best practices
Train and mentor junior service associates as needed

Qualifications

Licensing: Preferred but not required, active FINRA Series 7 and 63 (or 66) registrations; ability to maintain and upgrade as required
Education: Preferred but not required, Bachelor’s degree in Finance, Economics, Business, or related field preferred
Experience:
Minimum 3 years of client service or operations experience in a wealth management, brokerage, or bank trust environment
Familiarity with account opening platforms, order management systems, and custodial platforms (e.g., Schwab, BNY Melon/Pershing)
Skills & Attributes:
Exceptional verbal and written communication skills
Strong attention to detail with a “right‐first‐time” mindset
Ability to manage multiple priorities in a fast‐paced regulatory environment
Proficiency with Microsoft Office (Excel, Word, PowerPoint) and CRM systems, BNY Melon/Pershing and NetX360 Platform.

Benefits:

Salary Range: $65k-100k + semi-annual bonuses
Comprehensive benefits package, including health, dental, and vision insurance
Paid time off and holidays
Professional career development opportunities, ongoing training, and licensing support
Collaborative team culture that values client centric service

Carpion Private Wealth is an independent wealth management firm helping high-net-worth and ultra-high-net-worth clients build, manage, and protect their wealth for seamless generational wealth transfers. Founded by legacy advisors dating back to 1982, we deliver systematic, highly personalized financial plans aligned to clients’ values and goals—enhanced through family governance to foster unity and ethical stewardship. Partnering with BNY Mellon Pershing and leveraging Sanctuary Wealth’s industry-leading fintech and best-in-class specialists, we offer a seamless, comprehensive advisory experience focused entirely on client success.

Carpion Private Wealth

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Registered Client Service Associate