We are a growing RIA, looking to begin the team build out. Our founder has a history of success and is excited for this next iteration! Fueled by a personal passion, our founder is motivated to help as many clients as possible. We need the person that can catch all of the balls in the air so that our founder can focus on servicing existing clients and helping more people. In the early days, it will be the two of you making the dream happen! This is a high touch client service model, where our clients like to engage with us. You must love client interaction to be successful here, with the goal to lift some of the burden from the founder. We recognize that the single most important part of our business is our clients, and we do everything we can to support them. As the firm expands, there will be many opportunities to grow your role, depending on what is important to you. This role is fully remote and can be performed from anywhere in the US.

We are currently hiring a Client Service Associate to play a pivotal role in shaping our firm's operational strategies and processes. You will support our founder, our individual clients, our 401k clients, and our continued growth, ensuring smooth firm-wide operations centered on client service. This will include client-specific, account-specific, and general business functions. Whether it’s setting up new accounts, handling service requests, scheduling meetings, or answering phones, you take ownership of the task and follow it to completion. You will strategize with leadership and bring ideas for improvement, along with the tenacity and project management capabilities to implement. We are seeking a candidate who embodies humility, reliability, and exceptional communication skills. Being your proactive self, you look for ways to take care of as much as possible so the firm owner can focus on clients. You are the type of person that owns your job and isn’t afraid to take care of business. If you don’t know how to do it, you dig in, ask questions, leverage your resources and figure it out. Your personal drive and initiative is what will make you successful on our fully remote team! Additional responsibilities could include basic office management functions, vendor management, compliance, and marketing.

General Responsibilities:

• Prepare investment and insurance account paperwork and manage the transfer of assets
• Respond promptly to client service requests, troubleshoot service issues, and provide effective solutions
• Assume cashiering function with custodians, ensuring accurate and efficient financial transaction processing
• Interface with custodians to complete new account applications and various account maintenance items, process cash and securities transactions, follow up as needed
• Prepare, organize, coordinate, and maintain all client paperwork and electronic files in their respective folders and our client portal; ability to work with clients and colleagues on sharing documents
• Update and maintain client status and information within CRM and all internal systems and reports
• Schedule client meetings, maintain calendar, and coordinate scheduling internally and externally; monitor client meeting frequency
• Research and prepare information needed for client meetings; documents, notes, reports, and presentation materials
• Support our 401K business by working with participants through onboarding/offboarding, as disbursements are requested, and any other general questions that arise
• Initial and ongoing data entry into financial planning software
• Monitor and streamline workflows for client service and business operations tasks, ensuring technologies are integrating as expected and identifying opportunities for more efficiency
• Track, process, and support clients through the RMD process
• Manage compliance calendar and perform initial compliance entry for review
• Conduct research, prioritize issues, and follow up on incoming inquiries
• Collaborate with the founder and the team in various areas, including marketing, human resources, events, etc.

Qualifications:

• Bachelor’s degree highly preferred, or equivalent work experience
• Minimum of 5 years of progressive client service and operations experience in investment management, financial planning and insurance
• Demonstrated excellence in optimizing operational processes and delivering exceptional client service
• Investment advisory compliance exposure, direct federal and/or state regulatory experience preferred
• Solid understanding of investment and financial planning management concepts
• Familiarity with Advyzon, Holistiplan, Right Capital or similar softwares preferred
• Advanced level proficiency in Microsoft Office
• Experience working with SEI as custodian preferred
• Self-motivated and capable of working independently while thriving in a collaborative team environment
• Strong desire to contribute to key business decisions and provide valuable insights
• Reliable, responsible, and detail-oriented with exceptional organizational skills
• Outstanding communication skills, both verbal and written

Compensation: $65K-$80K plus bonus