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Hilltop Securities Inc. · 2 days ago

Client Service Associate - Registered

Charlotte, NC

Full-time

Onsite

Entry, Mid Level

2+ years exp

Hilltop Securities Inc. is a financial services firm focused on building collaborative relationships to enrich the financial future of individuals and businesses. They are seeking a Registered Client Service Associate (R-CSA) to support Financial Advisors by providing exceptional client service, managing client inquiries, and ensuring compliance with regulatory requirements.

BankingFinanceFinancial Services

Responsibilities

Serve as the primary point of contact for client inquiries, including account queries, stock orders, payments, and documentation

Assist with account opening, onboarding, due diligence, and ongoing monitoring

Execute money movement transactions and enter trade orders at the direction of the FA

Educate and enroll clients in digital tools (e.g., eSign, eAuthorization)

Maintain and update client account information, including investment objectives and risk tolerance

Support client meetings, business trips, and investment proposals with necessary documentation

Ensure compliance with legal, regulatory, and internal policy requirements

Help implement and maintain the FA/team’s marketing strategy (e.g., website updates)

Manage calendars, schedule meetings, and coordinate logistics including Zoom credentials and materials

Handle travel arrangements, prepare expense reports, and manage reimbursements

Answer inbound and outbound calls, providing updates and scheduling follow-ups

Perform general office duties such as filing, scanning, and maintaining records

Act as gatekeeper during prime market hours to ensure focus and efficiency

Qualification

Series 7 licenseSeries 66 licenseFinancial products knowledgeMicrosoft Office proficiencyClient service skillsMultitasking abilityAttention to detailInterpersonal skillsTeam-oriented mindset