Client Service Associate

Position Description:

Step into an instrumental role. Help conduct the smooth operation of a fast-paced—and friendly—financial

planning office. Work as an employee of an independent advisor franchisee with a financial advisory

practice of Ameriprise Financial. Assist in daily business operations.

Assist financial advisors in managing and organizing office work flow

with an emphasis on creating and delivering a unique client experience that defines and differentiates the

practice. This position will consistently follow high standards of business and professional ethics and legal

and regulatory requirements when dealing with others and/or performing work activities.

This role provides client relationship support through interacting directly with clients to ensure accurate

account set up and through acting as a liaison to answer client questions. The role will also perform other

practice management tasks relating to client service as needed.

Responsibilities and Time Allocation – Will change over time to meet the needs of the practice and can

include other duties as assigned by the advisor.

Position Functions:

50% Business Management

• Work with the corporate office to ensure accurate account setup and resolve issues

• Answer questions and provide readily available information to clients, if requested and as

allowable, as it relates to servicing their accounts

• Maintain files and records in accordance with the records retention policy

• Perform other allowable duties as assigned by the financial advisor(s) and associate financial

advisor(s)

• Provide insight and recommendations to effectively use key tools (MOD, Go Social, Advisor

website, etc.) that help lead to results in practice

50% Client Care

• Maintain client management system

• Greet clients upon arrival and extend hospitality to clients

• Call clients or prospects to set up meetings or appointments

• Write notes or letters to clients on personal letterhead of administrative nature only and handle client

appreciation

• Attend and participate in client meetings if necessary

• Conduct transaction requests as directed by financial advisor(s) and associate financial advisor(s)

• Answer unsolicited calls from prospects to schedule appointments or refer to advisor

Key Traits of a Successful Client Service Associate

• Direct attention to detail and organization

• Effective communication with clients and other advisors/staff

• Effective and efficient time management

• Polite and clear phone manner

• Ability to multi-task

• Ability to adhere to rules and regulations as stated and required by advisor, Ameriprise Financial

• Ability to support and provide guidance for compliance within the advisor’s practice

• Positive attitude and sincere willingness to constantly learn and grow