Client Service Associate

Job Summary
We are seeking a dynamic and detail-oriented Client Service Associate to join our financial services team. In this pivotal role, you will support financial advisors by preparing comprehensive financial plans, conducting research, and ensuring compliance with industry regulations. Your proactive approach will enhance client relationships and contribute to the delivery of exceptional wealth management services. This position offers an exciting opportunity to grow within a collaborative environment dedicated to helping clients achieve their financial goals.

Primary Responsibilities

Client Service

• Serve as a primary point of contact for client service requests
• Respond promptly to client inquiries via phone and email
• Coordinate client meetings and prepare meeting materials
• Maintain a high level of professionalism and confidentiality

Account Administration

• Process account openings and transfers
• Assist with ACAT transfers, money movements, and wires
• Monitor account paperwork for completeness and accuracy
• Coordinate with custodians to resolve account issues

Client Onboarding

• Prepare and process new account documentation
• Ensure compliance with firm and custodian requirements
• Maintain accurate client records within the CRM system

Advisor Support

• Prepare client reports and meeting materials
• Assist with portfolio and performance reporting
• Track client requests and follow-ups

Operations

• Maintain organized digital client files
• Assist with periodic client communications
• Support firm operational and compliance procedures

Duties

• Assist in developing personalized financial plans by gathering client data, analyzing financial information, and preparing detailed reports.
• Run retirement, tax, and risk analyses
• Support the preparation of client presentations, proposals, and documentation with accuracy and professionalism.
• Maintain up-to-date knowledge of financial products, software platforms, and regulatory requirements to ensure compliance.
• Manage client inquiries promptly, providing exceptional service and maintaining strong relationships through effective communication.
• Collaborate with advisors to review portfolios, monitor investment performance, and recommend adjustments aligned with client objectives.
• Assist in the preparation of estate planning documents such as wills and trusts, ensuring alignment with legal standards and client wishes.
• Assist in client meeting preparation and follow-up
• Manage account paperwork and custodial requests
• Coordinate with custodians and vendors
• Maintain CRM and portfolio management systems
• Support investment implementation and rebalancing
• Help ensure compliance and documentation standards are met

Required Qualifications/Skills

• Minimum 3 years of experience working in a financial advisory firm (RIA preferred)
• Working knowledge of financial planning software and custodial platforms
• Experience with one or more of the following strongly preferred:
• eMoney
• MoneyGuidePro
• Schwab Investment Advisor Services
• Advisor Engine
• Holistiplan
• Nitrogen (formerly Riskalyze)
• Advyzon
• Strong attention to detail and organizational skills
• Excellent written and verbal communication skills
• Bachelor’s degree required
• Securities registrations a plus (Series 65 or 7/66)
• Excellent math skills with the ability to interpret complex data accurately.
• Experience in customer relationship management (CRM), banking operations, and portfolio management systems.
• Effective communication skills for sales support and client interactions; ability to explain technical concepts clearly.

Ideal Candidate

The ideal candidate sees this position as a career-building step in the Financial Services Industry, not simply a job. You are intellectually curious, enjoy solving complex planning problems, and thrive in a client-focused environment. You are comfortable balancing operational responsibilities with analytical planning work.

What We Offer

• Direct mentorship from senior advisors
• Meaningful client exposure
• Opportunity for advancement
• Competitive compensation based on experience
• Support toward CFP® coursework and certification

Compensation & Benefits

• Base Salary: $70,000 – $95,000, commensurate with experience, licensing, and technical proficiency
• Annual Bonus: Discretionary performance bonus based on firm profitability, client service excellence, and contribution to planning initiatives
• Licensing & Education Support:
• Education reimbursement
• Exam fee reimbursement upon passing
• Study time flexibility
• Retirement Plan: 401(k) with Profit Sharing Plan
• Paid Time Off: Competitive PTO package
• Professional Development: Direct mentorship and increasing client-facing responsibility

Compensation will reflect experience with planning software (eMoney, MoneyGuidePro, Advisor Engine), custodial platforms (Schwab Advisor Services), and portfolio/reporting systems (Advisor Engine, Advyzon, Nitrogen, Holistiplan).

We are looking to hire within the next 30 days. If you are ready to take the next step in your financial planning career and grow within a respected, client-first RIA, we would welcome the opportunity to speak with you.

Please submit your resume and a brief cover letter outlining your experience and career goals.

Pay: $70,000.00 - $95,000.00 per year

Benefits:

• 401(k)
• Dental insurance
• Health insurance
• Professional development assistance
• Retirement plan
• Tuition reimbursement

Application Question(s):

• Do you live in Fairfield County or Westchester County?
• What does great client service look like in a wealth management firm?
• Do you have any eperience wth any of the above mentiioned software pakages? Please provide name and years of experience.
• What part of this job do you think is the hardest

Experience:

• Financial services: 3 years (Required)

Work Location: In person

Salary : $70,000 - $95,000