Our firm is a $600M+ Registered Investment Advisor, specializing in financial planning for high-net-worth individuals and families. We support just over 300 households and believe in going the extra mile for our clients. We look for great people, filled with integrity and positivity, so that our clients experience is exceptional. Our firm is high growth, and we need a leader to take the operations of our firm into the future. Being a small team, this role is critical to our success! We take care of our employees with an extensive benefits package and group outings, so that you can focus on our mission to care for our clients.

Our firm is looking for a Client Service Associate to support our advisors, our clients and our continued growth. This is a critical role in our organization. You are going to be tech savvy, an adopter of change and always willing to help. You are naturally curious, and you are capable of identifying efficiency gaps and executing on improvement. You have been in the business awhile and understand many, if not all, client situations, even when complex. Because of this, you are proactive and able to help clients and your advisors steer clear of landmines.

Client Service

• Prepare investment account paperwork and manage the transfer of assets
• Responsible for customer account maintenance as it relates to advisory fees processing.
• Execute trades (when properly registered) under direction of Advisors
• Proactively communicate with Advisors regarding work in progress
• Scheduling client meetings
• Answer inbound phone and email inquiries and route to appropriate staff and team members; meet and greet clients and visitors to office & maintain monthly calendar.
• Respond to client requests for service and trouble-shoot service issues
  

Operations

• Daily, weekly, monthly billing and termination tasks in preparation for Quarterly Advisory fees processing
• Assume cashiering function with custodians
• Custodian interface: complete new account applications and various account maintenance forms, process cash and securities transactions, follow up on transactions as needed
• Follow and monitor workflows required to service and monitor clients, as well as, for business operations tasks
• Construct custom client reports and presentation materials
• Support all additional operational activities including, high touch client service, custodian communications, software usage and monitoring
• Update and maintain client status (new and ex-clients) and information within CRM and all internal systems and reports
  

Background

• 7+ years of client service and operations experience in investment management or financial planning
• Investment advisory compliance exposure, direct federal and/or state regulatory experience preferred
• Experience with compliance monitoring technology, processes and systems, including processes to make improvements or take corrective action, within a registered advisory firm highly preferred
• Basic knowledge of financial markets; understanding of investment and financial planning management concepts
• Ability and willingness to learn about new complex financial products
• Can work independently
• Enjoys working collaboratively with others
• Willingness to contribute to key business decisions
• Reliable and responsible
• Exceptional communication skills
• Impeccable detail orientation and ability to stay organized and on task
  

Education and Licenses

• BA/BS Degree from nationally recognized institution or equivalent work experience
• Series 65 highly preferred; or willingness to obtain with 12 months

 

Compensation: $70K-$85K