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