Relationship Manager - Series 7 required

Our client, a growing independent broker dealer, is seeking a Relationship Manager to join their team. This individual will serve as a key point of contact for clients by providing high-touch service, supporting investment-related requests, and assisting with day-to-day account administration. The ideal candidate will have experience working within a wealth management or broker dealer environment and possess strong client relationship management skills.
This role is ideal for someone who enjoys balancing client interaction, investment support, and operational responsibilities in a collaborative and fast-paced environment.
Responsibilities
Serve as a primary point of contact for high-net-worth and mass affluent clients
Build and maintain strong client relationships through proactive communication and ongoing service
Assist clients with account opening, onboarding, maintenance, transfers, and documentation processing
Execute trade orders and support advisors with investment-related client requests
Respond to client inquiries regarding accounts, balances, transactions, and investment activity
Coordinate and prepare paperwork for new accounts, money movements, beneficiary updates, and account changes
Support financial advisors with meeting preparation, follow-up items, and client servicing needs
Ensure all client interactions and account activity are handled in compliance with FINRA and firm policies
Maintain accurate client records and notes within CRM and custodial systems
Assist with general Client Service Associate (CSA) responsibilities and operational support
Work closely with internal operations, compliance, and custodial partners to resolve client issues efficiently
Deliver a high level of professionalism, responsiveness, and white-glove client service
Qualifications
Active FINRA Series 7 license required
Bilingual in English and Spanish required
3+ years of experience within a broker dealer, wealth management, private banking, or financial advisory environment
Experience executing trades and supporting investment-related client conversations
Strong knowledge of account opening, account maintenance, and brokerage operations
Previous experience in a Relationship Manager, Registered Client Associate, Client Service Associate, or similar role preferred

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