Job Description: Client Associate at FFM, an Independent financial advisory firm providing boutique financial and wealth management in Seal Beach, CA.

The Role: Client Associate is for an experienced Wealth Management representative person to assist completing tasks in daily workflow for existing and new clients. Investment management, and/or compliance/legal background experience for a minimum of two years is required for this role. This person will provide administrative and client assistance to the CERTIFIED FINANCIAL PLANNER™ professional to help maintain and service client accounts, manage office workflow processes and maintain daily office procedures. The tasks performed include supporting the administrative tasks of the CERTIFIED FINANCIAL PLANNER™ professional, implementing daily office activities, maintaining updated client account information, and lending assistance to the CERTIFIED FINANCIAL PLANNER™ professional for special projects, reports and urgent office tasks. This role will be responsible for interacting with office staff and clients in person, on the phone, and via email, and video conference. Will also provide office support for new clients, prepping documents as well as monitor and be responsible for work flow implementation completion.

Qualifications:

• Minimum of 2 years professional experience required in the investments and Securities management, Broker/Dealer or RIA industry.
• Bachelor's or Associate degree preferred not required
• Investment management clerical, investment compliance/legal awareness, ACH banking knowledge, Insurance/annuity case management, and customer/client relationship management experience requited
• 2 years previous experience trading (Series 7, 66 within RIA or wealth management custodian desired, not required)
• Previous experience in custodial platforms (such as Pershing NetX360, TD Ameritrade, Charles Schwab, Fidelity, Advyzon) strongly desired
• Proven self-starter and multi-tasker, likes to take a leadership administrative role and interact with people as an extrovert
• Knowledge of investment and banking products, policies & procedures required
• The ability to train up is available at this growth company.
• Ability to adapt to a rapidly changing business and financial technology environment
• Attention to detail, Professional presence and strong communication skills required
• Minimal travel may be required with adequate notice for personal planning (must have own transportation) This is a M-F in office administrative support role.
• Candidate should be willing to wear a mask when external FFM clients' request in-person office meetings and interact with staff.

Skills required:

• Detail oriented, Strong workflow, communication, time management and implementation
• Organizational skills with attention to detail coupled with the mindset of how you can help the process be more efficient and effective.
• Ability to multitask supporting operational services, compliance-related activities within a professional office and collaborative team. Example: Handle incoming client requests including setting up accounts, processing funds transfers, money movement requests, and documenting them on internal reports
• Execute client account services , Implement documentation, overseeing and monitoring most service aspects of client relationship
• With regards to Accounts Data entry accuracy & Excellent soft skills including verbal and written communication, people, organizational, and client service skills
• The ability to work independently in an office environment and also appreciated as part of a collective team
• Strong client service & technical skills (MS Word & Excel, and MSFT 365 suite)
• Proactive to Troubleshoot problems, find solutions, triage development needs/requests, and articulate complex solutions in written communications.
• Support team members through prepping accurate Docusign's for new business and service exiting clients
• Proactively identify and resolve problems for both internal & external parties
• Support account opening and maintenance to ensure compliance with anti-money laundering and operational standards Assist with project management.

Tasks

• Provide Office support to CERTIFIED FINANCIAL PLANNER™ professional.
• Process and monitor office workflows: Income and outgoing correspondence, confirm client meetings, submit new account documents, follow transfer of accounts (ACATs)
• Integrate IT in workflows, Operations and Client Support functions, computer systems, and various cloud-based tech.
• Follow-up on pending account service requests and ensure support to appropriate documentation such as facilitating transfer of funds and securities, complete trades in client accounts, and process checks, wires and ACH's in a timely manner.
• Resolve complex processing and service issues in a timely and accurate manner and within both FFM workflow management guidelines and regulatory guidelines
• Support Management to Prepare and process RIA management billing
• Research and complete office requests with staff
• Leverage various communication channels and utilize processes to keep workflows organized.
• Collect appropriate documentation to set up new accounts and gather information for client reviews and assist in client meeting follow-up, assist clients in setting up their client portals or resetting passwords.
• Manage scheduling, firm calendar, CRM data entry, task management, scanning client documents.
• Office management - order supplies, maintain organization & general office care
• Demonstrate a client first approach as you meet compliance standards, research and resolve problems, implement technology changes and prepare correspondence in a fast paced, professional and collaborative environment
• Develop strong business relationships through proactive phone calling of existing clients and prospects
• Act as an integral part of creating office efficiency strategy for implementing new workflow processes.
• Take initiative to handle incoming office calls, inquiries and inbound needs and escalate to manager when appropriate, and complete documentations
• Data Entry to assist with modeling various financial assumptions with the CERTIFIED FINANCIAL PLANNER™ professional to create client reports on firm software
• Regularly re-engage and show up to complete workflow with persistence, diligence and tenacity
• Understand and present information on all platform enhancements, changes, costs, and understand all new products and policies of the clearing firms/partner firms and their FinTech software
• Maintain confidentiality in accordance with firm’s Code of Conduct and dress code.
• Maintain Risk awareness, identify problems in a timely manner, and review current procedures for efficiencies and enhancements
• Enjoy representing the firm; exemplify the firm attributes of being perceptive, progressive, responsive, respectful and fair, both internally and externally
• Develop and nurture a positive relationship with Fineberg Financial Professionals, while recognizing problem areas within new startup, and developing sound strategies for resolving issues and building loyalty

Our company motto is "The Wise Money Move", and we take that job seriously, with a heavy commitment to volunteering and community support, employee well-being, and providing quality products and services that help our customers create a more secure future. The Client Associate role is a Administrative and Sales support position, typically providing dedicated operational and sales support to one CERTIFIED FINANCIAL PLANNER™ professional. Incumbents may also on a regular basis support office initiative, in addition to the businesses of the CFP®. For established clients, the staff will often serve as the most frequent point of contact with our firm. We require our staff’s participation in projects, task forces, councils, and product rollouts to ensure our staff's voice is represented.

Salary & Benefits

• Starting compensation $55-68k/yr, commensurate to experience with discretionary annual bonus linked to firm revenue growth.
• Competitive pay and incentives, 401(k) after 1 year
• Satisfying work environment
• Growth Potential
• Giving Back: our firm supports pro-bono services
• Career development opportunities
• Onsight Free Lunch Days Snacks
• Discretionary Annual Bonus directly tied to firm revenue growth and employee performance
• Be part of an elegant and holistic financial planning industry, working with Fortune 500 companies
• Full reimbursement of any business expenses incurred for business travel with pre-approval.
• Fully registered staff (Series 7 & 66 (63/65)) may apply to this job.
• Training provided for operational systems.
• Discretionary annual bonus end of year range linked to firm revenue growth
• 10 days paid vacation/sick days are combined and accrue, vacation time submitted 4 weeks in advance in writing and must be approved. Accrues indefinitely.
• More than three unannounced/unexpected absences would be cause for a termination.
• There is a professional dress code M-Th and Fridays are business casual dress code unless otherwise noted.

Work Schedule & Location:

• Approximate start date: May/June 2024 We are flexible for the right match
• Office location: Seal Beach, CA office (free parking)
• Typical salary hours are Hours M-F 7:00AM - 4:30PM M-F including lunch/breaks.
• From time to time, during the evening for preplanned occasional business events or networking events up to 7 PM, no more than once a year.
• This is not a remote or hybrid position. You become a trusted resource to our office, CERTIFIED FINANCIAL PLANNER™ advisors and branch. Use your administrative and operational skills to help our team manage and grow their business
• FINRA CE, Credit, Fingerprinting, random drug testing and background checks are required.
• We offer a competitive pay and benefits in a welcoming, diverse and inclusive work environment. We recognize that our strength comes from diverse talents they bring to our workforce and are directly linked to our success.

Employees are expected to follow any State and Federal COVID-19 or other infectious disease health and safety requirements, including local requirements. Our Firm will consider accommodation requests as required by applicable law. We currently do not have any health office policies in effect.

Job Type: Full-time

Pay: $55,000.00 - $68,000.00 per year

Benefits:

• Employee discount
• Financial planning services
• Professional development assistance
• Retirement plan

Compensation package:

• Bonus opportunities

Weekly schedule:

• Monday to Friday

Work setting:

• In-person
• Office

Application Question(s):

• Explain your experience with brokerage custodians and broker dealers in your work history.

Experience:

• Investment management: 2 years (Required)

Security clearance:

• Confidential (Preferred)

Work Location: In person