RIA Operations & Client Service Associate

RIA Operations & Client Service Associate Baton Rouge, LA (On-site, Full-Time)Compensation: $60-75k DOE, plus bonus, medical benefits, and 401(k) matchAbout the FirmOur client is a growing hybrid Registered Investment Advisor (RIA) firm with over $500 million in assets under management (AUM) and a positive and collaborative corporate culture. The firm provides comprehensive wealth management services to a primarily high-net-worth (HNW )client base, including retirement plans and business owners. Known for its strong reputation and relaxed yet professional environment, the firm is expanding and seeking a seasoned operations and client service professional to support continued growth.This is a new position created due to the growth of the practice. The ideal candidate will bring a solid background in financial services operations, strong attention to detail, and a proactive, client-first mindset.Key ResponsibilitiesPrepare reports, paperwork, and materials for client meetings; manage post-meeting follow-upProcess, submit, and service account paperwork and client requests (new accounts, ACATs, distributions, etc.)Handle client inquiries via phone, email, and in-person interactionsExecute trades and support transaction workflows (Series 7 and 65 required within a defined time frame)Maintain the CRM system and ensure the accuracy of client recordsSupport the creation and improvement of internal systems and workflowsCollaborate with advisors and contribute to a high-level client service cultureQualificationsMinimum of 7 years of experience in a financial services operations or client service role that includes experience working with high-net-worth (HNW) clients in an RIA, broker-dealer, or family office settingStrong organizational and problem-solving skills; self-starter with intellectual curiosityFamiliarity with platforms such as Redtail, Envestnet, eMoney, and Laserfiche is a plusSeries 7 and 65 not required at hire, but must be obtained within a defined period to support trading responsibilitiesClient-focused and service-oriented mindsetExperience building processes and infrastructure is a plusPositive attitude, proactive approach, and strong attention to detailReporting StructureThis position reports to the COO/Director of Financial Planning and supports the entire advisory team, with a strong focus on operations, process improvement, and advisor efficiency.Why Join This Firm?Relaxed, respectful, and supportive work environmentOpportunity to contribute ideas and influence internal systems and service standardsExposure to both operational and client-facing responsibilitiesThe firm is growing and has recently added multiple advisorsOpportunities for learning from multiple professionals within the teamLeadership is open to evolving the role based on your goals and strengths

Created: 2025-05-22