We're Hiring - Senior Client Service Associate

You can email your resume to Sovereign's Principal: Chuck Failla, CFP


About Us

Sovereign Financial Group, Inc. is one of the fastest growing RIA firms in the Northeast.

With offices in Connecticut, New York and Pennsylvania, our established team provides comprehensive financial planning and investment management services to high-net-worth individuals and 401Ks for small to mid-sized businesses.

This Position

We have recently enjoyed significant growth and now look to bring on an experienced Client Service Associate to support this growth.

In the short term, this position will provide direct support to several of our Financial Advisors and will also be responsible for coordinating directly with the firm’s President on various operational projects. In the longer-term (2-4 years), this position will evolve into a Director of Client Services role and be responsible for managing a team of CSAs.


Our group has a long track record of retaining team members and promoting from within.

We value our colleagues and recognize the importance of maintaining a high-quality team to deliver the level of care and type of service experience our clients are accustomed to. To that end, we look for individuals that share our passion for customer service. Additionally, we are pleased to offer a competitive compensation package that rewards good work and encourages long term associations with our group.

  • This position will start at $75K: $60K base & $15K guaranteed annual deferred retention bonus.
  • Company funded 401k. (After one year of service)
  • Generous company funded Profit Sharing Plan
  • Two weeks paid time off
  • Paid Holidays (In addition to your two weeks of Paid Time Off)
  • Complementary use of our office's gym and shower facilities -- conveniently located in our building.
  • Reserved, indoor garage parking.
  • A genuinely warm, positive, family-oriented work environment

Job Description

Senior Client Service Associate

  • Be the first point of contact for clients and visitors in our Stamford office and by phone.
  • Assist the team with all non-sales related functions (clerical/administrative work).
  • Prepare meeting documents and other materials.
  • Schedule meetings for team utilizing our group’s various applications (Outlook, Salesforce, etc.)
  • Respond to client questions regarding accounts, policies, and procedures.
  • Review daily activity and reconcile current client activity, fund transfers and previous day’s activity to ensure accuracy.
  • Process client requests (wires, checks, journals, etc.).
  • Process client paperwork (including communicating directly with clients to obtain all information needed)
  • Assist with establishing online access for statements, confirms, proxy materials and other services.
  • Attend compliance and continuing education training sessions as required by regulatory agencies and the firm.
  • Prepare client correspondence, obtain necessary management approvals and transmit.
  • Other responsibilities as may be assigned.
  • Maintain office: appearance, supplies, etc.

Minimum Qualifications:

  • 5 Years work experience as a Client Service Associate at either a Broker Dealer or RIA
  • Excellent customer facing skills. Strong written and verbal communication skills
  • The ability to accomplish a variety of tasks in an efficient, organized manner
  • Strong follow-up skills
  • Strong Microsoft Office competency (Outlook, Word, Excel)

Preferred Qualifications:

  • College Degree: BA/BS degree preferred.
  • Proficiency with: Salesforce, Orion and Riskalyze.
  • Experience with administrating 401Ks.
  • Series 65. We are willing to sponsor the right candidate.

Job Type: Full-time

Pay: $75,000.00 per year