Firm Description

We are a family owned and operated Financial Planning and Investment Advisory firm located in Raleigh, NC. We specialize in helping individuals and families decipher, refine, analyze, structure and accomplish their goals and dreams throughout the accumulation and distribution phases of life. We have a rich history and over 50 years of combined experience supporting our community. We are currently a father/son advisory team and need to hire a person to support us, our clients, and our business. With the size of our team, we need an individual who will always look for ways to help. One unique benefit of working with us is this will be a 4-day work week indefinitely, with every Friday off!

Role Summary

The Client Service Associate in our firm has an incredibly important role. Most importantly, you will have frequent client contact, by telephone, in-person, through written correspondence and by email. You will also be work closely with and manage external partners, making you a key contributor to our client experience. You will handle most routine matters involving account opening, administration and maintenance. We hope to find someone that can also support the financial planning process within the firm, or who wants to learn. Additionally, this person will handle some office management functions. After the training and adaptation period, this role will hold a lot of responsibility and autonomy. We want to empower you to take care of as much as possible so the advisors can focus on business growth and client relationships. 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. You recognize that the single most important part of our business is our clients, and you do everything you can to help them.

Essential Responsibilities

• Answer, screen, and route phone calls, assisting client directly or taking messages as appropriate
• Process various client service items, including withdrawals, beneficiary changes, etc.
• Place necessary, advisor-directed trades in client accounts
• Coordinate with team to complete and process new accounts
• Prepare and distribute marketing materials
• Organize, coordinate, and maintain all client paperwork
• Process Securities and Checks received in the office
• Organize time: schedule appointments, maintain calendar, and coordinate scheduling with other Staff and individuals outside the firm, as needed
• Research and prepare information needed for client meetings; documents, notes, reports, and presentation materials as requested
• Follow up with clients verbally and in writing to obtain required information
• Manage practice reporting tool to assure data reflected is complete and accurate
• Maintain client records in database, including documentation of phone calls and conversations
• Compose and type general correspondence
• Communicate confidential client information professionally and discreetly
• Deliver superior client service – troubleshoot problems and serve as liaison between Advisor and Client as needed
• Communicate with the broker/dealer, advisory firm and product contacts
• Maintain broker records, logs, and blotters; assist in various other compliance functions
• Utilize internet-based technology to process and follow-up on business
• Perform various miscellaneous tasks as assigned

Skills & Requirements

• Bachelor’s Degree preferred; will consider High School Diploma with more than 2 years’ experience
• 2 years’ experience supporting one or more financial advisors required
• Series 7 preferred
• Highly organized, with an absolute attention to detail
• Excellent follow-through and communication regarding status of open items
• Client-first attitude: ability to interact with clients professionally and respond to clients in a timely manner
• Editing and writing skills to initiate, compose, format, proofread and carefully edit various professional business documents and correspondence
• Strong time management skills; ability to prioritize and coordinate multiple work assignments and deadlines efficiently despite frequent interruptions
• Excellent interpersonal and communication skills; ability to communicate in a pleasant, tactful and effective manner (both orally and in writing), and to handle difficult, sensitive issues
• Intermediate or higher computer skills and experience in using Microsoft Office suite, email, internet, databases, and other standard office desktop applications
• Ability to analyze situations, define problems and/or objectives, identify relevant factors, formulate logical conclusions and suggest alternative solutions
• Must be willing and able to complete a background and credit screening as an employee of a FINRA-regulated advisor. Final job offer is dependent on successful completion and approval by the broker/dealer firm.

Additional Information

4-day work week, Monday-Thursday, preferred schedule of 9am-5pm

15 days Paid Time Off

Bonus – discretionary, performance-based bonus opportunity

Professional Growth – securities licensing, conference participation, educational meetings, and more