Client Service Associate/Financial Planning Associate

A Non-Licensed Client Service Associate/Financial Planning Associate provides administrative, analytical, and client service support to financial advisors and planning teams. This position assists with preparing financial plans, gathering client information, maintaining records, and supporting day-to-day operations, while working under the supervision of licensed financial professionals. This role does not provide investment advice, sell securities, or perform activities requiring financial licensing.

Essential Duties and Responsibilities

• Assist financial advisors with preparing and updating financial plans and client reports
• Gather, organize, and maintain client financial information and documentation
• Prepare meeting materials, presentations, and follow-up correspondence
• Input and update client data within financial planning and CRM software systems
• Monitor account paperwork for accuracy and completeness
• Coordinate account openings, transfers, and maintenance requests
• Schedule client meetings and assist with calendar management
• Respond to routine client inquiries regarding account status and documentation
• Track outstanding items and follow up with clients for required information
• Maintain confidentiality of sensitive financial and personal information
• Ensure compliance with company policies and regulatory procedures
• Support billing, reporting, and operational projects as assigned

Qualifications

• Associate’s or Bachelor’s degree in Finance, Accounting, Business Administration, or related field preferred
• Previous administrative or financial services experience preferred
• Strong organizational and time management skills
• Excellent written and verbal communication skills
• Proficiency in Microsoft Office Suite, especially Excel, Word, and Outlook
• Experience with CRM or financial planning software is a plus
• Ability to manage multiple tasks and meet deadlines
• Strong attention to detail and accuracy

Knowledge, Skills, and Abilities

• Understanding of basic financial planning concepts
• Ability to handle confidential information professionally
• Strong customer service and interpersonal skills
• Ability to work independently and collaboratively within a team environment
• Analytical and problem-solving abilities
• Professional demeanor and presentation

Licensing Statement

This position is non-licensed and does not involve providing investment advice, recommending securities, or conducting activities that require securities or insurance licensing.

Work Environment

• Primarily office-based environment
• Standard business hours
• Frequent computer and telephone use

Reports To

• Wealth Manager