Cartier Wealth · 1 day ago
Registered Client Service Manager
Cheshire, CT
Full-time
Hybrid
Entry, Mid Level
$70K/yr - $95K/yr
2+ years expCartier Wealth is a financial advisory firm seeking a Registered Client Service Manager to support their financial advisors. The role involves managing client relationships, ensuring compliance with industry regulations, and providing administrative and operational support to enhance client service.
Financial Services
Hiring Manager
Chad Cartier
Responsibilities
Serve as the primary point of contact for clients, addressing inquiries, scheduling meetings (minimal scheduling) and ensuring all client interactions are handled with professionalism and care
Work with advisor team in facilitating the onboarding process for new clients, including the collection of necessary documentation, account setup, and ensuring compliance with regulatory requirements
Coordinate and prepare for client review meetings, including compiling account statements, performance reports, and any other necessary documentation
Maintain regular contact with clients through phone, email, and written correspondence to ensure their needs are met and any issues are promptly resolved
Maintain and update client files and records in the firm’s CRM system, ensuring accuracy and confidentiality
Prepare and process various forms and documents related to client accounts, including account opening, transfers, distributions, Roth Conversions and other transactions
Ensure all client-related activities comply with FINRA, SEC, and state regulations. Assist in the preparation and submission of compliance documentation as required
Schedule and confirm appointments for advisors, prepare meeting agendas, and ensure that all required materials are available
Generate and review client performance reports, account summaries, and other relevant documentation to assist advisors in client meetings
Manage all incoming and outgoing client correspondence, including processing mail, emails, and calls
Monitor and manage client account activities, including cash balances, pending transactions, and account maintenance
Assist in the execution of trades and other investment transactions, ensuring accuracy and compliance with client instructions
Assist advisors in the creation of financial plans by gathering relevant data, preparing financial models, and reviewing plan documents for accuracy
Utilize the firm’s technology platforms (CRM, financial planning software, portfolio management systems) to maintain and manage client information and support advisory activities
Support the firm’s marketing efforts by helping prepare marketing materials and assist with client events
Assist with the preparation of presentations and proposals for prospective clients. Participate in client outreach initiatives to help grow the firm’s client base
Assist client engagement & growth associate with the firm’s referral programs by tracking referrals, ensuring follow-up, and maintaining records of referral sources
Qualification
Required
Bachelor's degree in Finance, Business, Economics, or related field
Must hold Series 7/6 and Series 63/66 licenses
Minimum of 2-3 years of experience in a client services role within a financial advisory firm or similar environment
Strong knowledge of financial products, services, and regulatory requirements
Excellent communication skills, both written and verbal
High level of accuracy and attention to detail
Ability to manage multiple tasks and prioritize effectively
Proficiency with financial planning software, CRM systems, and Microsoft Office Suite
Strong organizational skills and ability to work independently and as part of a team
Demonstrates a commitment to providing exceptional client service and building long-term client relationships
Ability to identify issues and implement solutions efficiently and effectively
Maintains the highest ethical standards and compliance with industry regulations
Flexible and able to handle changing priorities and work demands
Works well within a team environment and supports colleagues in achieving common goals
Preferred
Additional certifications such as a CFP® are a plus
Benefits
Health insurance
Retirement plan
Paid time off
Professional development opportunities
Company
Cartier Wealth
At Cartier Wealth, we believe retirement is not just about managing money, it is about designing a life you have worked for with confidence & and clarity.
2-10 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase