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.
