Sales Associate / Client Service Associate - Wealth Management

Sales Associate / Client Service Associate – Wealth Management

Overview

The Sales Associate / Client Service Associate will provide high-touch client service, sales support, operational coordination, and select trading support to a Wealth Management team serving executives, founders, private company clients, financial sponsors, PE/VC professionals, and high-net-worth relationships, with a focus on biotech and healthcare. This role is ideal for a proactive, polished, detail-oriented professional with strong interpersonal and writing skills. The individual should be comfortable communicating with sophisticated clients by phone and email, managing tone appropriately, and supporting Financial Advisors with client service, business development, account administration, planning coordination, and trading-related workflows, including 10b5-1 trading plans.

Primary Responsibilities

• Serve as a key client service contact, responding to client inquiries by phone and email in a timely, professional, and compliant manner.
• Support Financial Advisors / Account Executives with day-to-day client service, sales support, operational needs, and relationship management.
• Assist with client onboarding, account opening, documentation collection, KYC, account maintenance, and follow-up.
• Coordinate client service requests, including funds transfers, wires, ACH, account updates, asset movement, and other operational items.
• Provide select trading support across equities, fixed income, options, and 10b5-1 trading plans, ensuring accuracy, timeliness, and proper documentation.
• Support clients with concentrated stock positions, private company equity, liquidity events, and pre-IPO / post-IPO wealth management needs.
• Prepare client-facing materials, including presentations, portfolio reviews, meeting books, planning exhibits, and follow-up notes.
• Assist with planning-related workflows, including estate and tax planning, cash flow modeling, insurance, and investment management coordination.
• Conduct client outreach and support prospect follow-up, business development initiatives, and relationship-deepening opportunities.
• Identify potential sales, service, or planning opportunities and communicate them to Financial Advisors.
• Coordinate with internal partners across operations, trading, compliance, planning, lending, insurance, and product teams.
• Maintain accurate client records, documentation, notes, and task tracking in applicable systems.
• Perform general administrative support, including phones, scheduling, filing, mailing, forms, and daily team workflow.
• Complete firm-required continuing education and regulatory requirements applicable to registered people.

Qualifications / Skills

• Strong client service orientation and excellent interpersonal skills.
• Professional written and verbal communication skills, with the ability to manage tone effectively across phone and email.
• Ability to interact confidently with C-suite executives, founders, senior investors, and high-net-worth clients.
• Proactive mindset with strong follow-through and attention to detail.
• Highly organized and able to manage multiple priorities in a fast-paced environment.
• Sound judgment and discretion when handling confidential client information.
• Strong temperament for a client-facing role, including composure, responsiveness, and professionalism under pressure.
• Ability to collaborate effectively with Financial Advisors, clients, and internal partners.
• Proficiency in Microsoft Office, including Word, Excel, PowerPoint, and Outlook.
• Strong desire to learn, grow, and build a long-term career within the team.

Required Background

• Bachelor’s degree required.
• 1–5 years of relevant wealth management, brokerage, financial services, client service, sales support, or trading support experience.
• Active SIE, Series 7, Series 63, and Series 65 or Series 66 preferred.
• Candidates with approximately one year of experience and active licenses will be considered.

Desired Experience / Skills

• Prior experience as a Client Service Associate, Registered Client Associate, Sales Associate, Wealth Management Associate, Trading Assistant, or similar role.
• Familiarity with 10b5-1 trading plans, restricted stock, concentrated equity positions, and executive trading considerations.
• Exposure to estate planning, tax planning, cash flow modeling, insurance, investment management, or financial planning workflows.
• Experience with account opening, KYC, asset/cash transfers, trade settlement, wires, ACH, ACATs, and client documentation.
• Familiarity with financial sponsors, PE/VC firms, founders, executives, or private company clients, particularly in biotech, healthcare, or growth sectors.
• Experience with tools such as eMoney, MoneyGuidePro, FactSet, Bloomberg, Pershing NetX360, Addepar, Black Diamond, Advent, or similar platforms is a plus.
• Basic understanding of markets, asset classes, portfolio construction, equity compensation, and executive wealth planning.

New York, NY Full Time Salary Range of $75,000 - $95,000 with overtime eligibility. 

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