Client Service Associate - Licensed

Senior Client Service Specialist

Location: Cincinnati, OH
Schedule: Full-Time | Primarily In-Office (Hybrid option available after training: 1–2 days/week)
FLSA Status: Non-Exempt

A well-established financial services firm in Cincinnati is seeking an experienced Senior Client Service Specialist to support Financial Advisors and deliver high-touch client experience. This role is integral to day-to-day client operations, combining administrative precision, regulatory awareness, and strong interpersonal skills.

The Senior Client Service Specialist serves as a key point of contact for clients, manages account-related processes from start to finish, and partners closely with advisors to ensure timely, accurate service. This position requires appropriate FINRA and state registrations, including a Series 7 and Series 66 (or other acceptable combination).

• Prepare and process documentation for new accounts, asset transfers, distributions, and account maintenance
• Meet with clients to review paperwork and obtain required signatures
• Place trades (buy/sell) and ensure accurate completion of required documentation
• Establish and manage client online access to account platforms and financial tools
• Monitor accounts for withdrawals, insufficient funds, required minimum distributions (RMDs), and outgoing transfers
• Review CRM dashboards daily to identify and resolve outstanding items
• Handle client requests including ACH instructions, deposits, withdrawals, cost basis inquiries, and tax-related questions
• Communicate proactively with Financial Advisors regarding account activity, changes, and trades
• Document all client interactions and account actions in the CRM system
• Utilize proprietary and industry financial planning software and tools
• Build and maintain strong, ongoing client relationships through regular communication
• Collaborate with support staff on document preparation, client reception, scanning, and phone coverage
• Ensure compliance with industry regulations and remain current on regulatory changes
• Assist with planning and attending periodic client events
• Perform other duties as assigned

• Self-directed, proactive, and highly detail-oriented
• Able to manage multiple priorities in a fast-paced environment
• Strong commitment to delivering an exceptional client experience
• Professional, mature demeanor with excellent judgment

• Bachelor’s degree in business or a related field preferred
• Minimum of 5+ years of administrative experience in a professional office environment
• 4+ years of experience in financial services or banking strongly preferred

• Series 7 required
• Series 66 required (or other acceptable registration combination, such as Series 63 and Series 65)

• Proficiency in Microsoft Office and comfort working with databases and financial software
• Prior experience using a CRM system, preferably Red Tail
• Strong written and verbal communication skills
• Excellent organizational, time management, and problem-solving abilities
• Ability to work collaboratively in a team-oriented environment
• Strong interpersonal skills with the ability to interact professionally with clients, vendors, and colleagues
• Solid understanding of the financial planning process and the broader financial services industry
• Interest in continuous improvement and enhancing client service processes

• Majority of time spent working on-site in a professional office setting
• Hybrid schedule (1–2 remote days per week) available after successful completion of training and onboarding