Amazing Opportunity to join a top Wealth Mgmt. Group with top-tier financial services. We are looking for a Client Service Associate who will focus on interacting with Ultra-High-Net-Worth clients and the sales team.
In this position, you will work in one of the best-known global financial services firms and work directly with the best-performing High-Net-Worth Wealth Managers .
Title : Client Service Associate (must have Series 7 licence)
Position Overview :
We are seeking a dedicated and detail-oriented Registered Client Service Associate to join our Wealth Management team, focusing on stock plan business and client equity plans.
This role requires close collaboration with corporate clients and their equity plan participants, providing exceptional service and support.
Key Responsibilities :
Executive Service :
- Provide comprehensive support in managing equity awards, including RSUs, Performance Units, NQ Options, SARs, and ISOs.
- Educate on the specifics of company equity awards.
- File necessary SEC paperwork for transactions, including Rule 144 and Section 16 forms.
- Ensure accurate and timely public filings in collaboration with the financial services team.
- Implement and manage 10b5-1 Plans.
- Uphold and enforce company policies related to share retention, holding periods, and trading windows.
Relationship Management :
- Serve as the primary liaison between corporate clients’ equity compensation departments and the Wealth Management team.
- Communicate upcoming events and updates to the Wealth Management team.
- Introduce equity participants to Financial Advisors to assist with diversification and additional financial services.
Operational Service :
- Handle day-to-day tasks and inquiries related to the administration of stock plans.
- Manage account opening and maintenance.
- Prepare and distribute reports on gains and losses, projected income, tax documents, and performance metrics.
- Execute transactions, including buying and selling securities, cash transfers, capital calls, donations, and withdrawals.
- Oversee the administration of corporate actions such as mergers, acquisitions, and spin-offs.
Qualifications :
- Strong understanding of equity awards and SEC regulations.
- Excellent communication and relationship management skills.
- Detail-oriented with strong organizational skills.
- Ability to handle multiple tasks and priorities effectively.
- Experience with financial reporting and transaction processing.
Client Services Associate II
A company is looking for a Client Services Associate II to provide exceptional support to customers and internal teams. ...
Client Services Associate
We are seeking a dedicated and detail-oriented Registered Client Service Associate to join our Wealth Management team, focusing on stock plan business and client equity plans. Title: Client Service Associate (must have Series 7 licence). Group with top-tier financial services. Ultra-High-Net-Worth c...
Client Services Associate - Private Equity Firm in Midtown
Our client, a leading private equity firm in Midtown, is looking to add an Associate to their Client Services team. Ability to build new relationships and establish trust with prospective clients. Maintain a high level of contact with clients and prospects, and act as a subject matter expert. ...
Client Services Associate - Full-time (july 2025 Start)
Graduating students will be hired as a Client Service Associate and placed in a three-month training program where they will learn the benefits of programmatic advertising, platform capabilities of The Trade Desk, company culture, and the structure and operations of the Client Services department. T...
Client Services Associate
Client Services Associates are the first point of contact for clients. As a member of Client Services, you will serve as a solution generalist for the S&P Global Market Intelligence Platform. Client Services interacts with many internal teams, including Sales, Content, Product, and Technical Support...
Senior Associate, Client Services - NY/CHI
Associate, Client Solutions and Planning is the day-to-day lead with both clients and internal teams, supporting the management of Paid Search, Shopping, Search Engine Optimizations (SEO), and teams. Lead client meetings and day-to-day client and internal communications, while coordinating cross-dep...
Associate, Channels Client Services
As a Channel Solutions Product Consultant, you will be providing the best and most efficient ways for our clients to achieve quality results and thus you’ll be able to learn and combine expertise in our products with a deep understanding of who are our clients and how they use our tools. Recording a...
Client Services Associate
Our client a diversified digital asset management firm with over $550 million AUM is seeking a Junior Client Services professional to join their team in order to help service the company’s rapidly growing client base. This is a great opportunity for someone with the desire to assist clients and work...
Associate, Insurance Client Services
Since the Associates are directly contacting clients, they also have the opportunity to relay feedback to the company and understand the needs of the clients which is valuable to the development of the Platform. Associate, Insurance - Client Support. Associates have a direct impact on the quality of...
Associate Control Manager - Client Account Services
As a Client Account Services (CAS) OCM on the Operations Control Management team, you will be responsible for ensuring the line of business has a sustainable and disciplined end-to-end control environment, identifying and escalating issues with urgency, and partnering with business to ensure issues ...