Client Services Associate

The Client Service Associate supports firm operations, including client service, business administration, operations and marketing. The Client Service Associate supports an elevated client experience through direct client interaction and “behind the scenes” coordination with other team members to deliver premium client service. This person works closely with the advisor(s) and team to develop, implement and track the elements of the Total Client Experience. The position requires strong written and verbal communication skills, a can-do attitude, an inquisitive mindset, creative problem-solving skills, self-motivation, strong task management and follow through skills, enthusiasm and a strong aptitude for learning. The ability to effectively prioritize workloads and complete tasks within well-defined guidelines and time constraints is essential. Organization skills and attention to detail are critical. This person must be able to accurately follow instructions to ensure a high-quality outcome across the position responsibilities. Additionally, a Client Service Associate is responsible for the completion of essential duties and responsibilities, which are outlined below, though not an exhaustive list:

Outcome

A successful Client Service Associate will:

•       Ensure smooth day-to-day operations and increase operational efficiency of the firm

•       Support high client satisfaction rates through excellent customer service, prompt follow-up to client issues and proactive problem solving

•       Ensure that paperwork is processed accurately to decrease errors that require further client communication

•       Leverage time and create capacity for Advisors 

•       Assist in achieving annual growth metrics and long-term goals of the firm

General Administrative

•       Update processes / procedures related to the Client Service Associate position that are efficient, repeatable, and usable by any team member 

•       Assist in updating department processes or procedures for direct reports

•       Complete and support other positions as back-up duties are assigned

•       Support general administrative needs as necessary

•       Build, maintain, and utilize support systems such as:  Peer groups, training cohort groups, and administrative personnel withing partnering organizations to establish or improve processes, procedures, proprietary software/portals, to create efficiency within operations, and advisor related functions, including client relationship management and new client acquisition/business production

•       Provide input toward goal setting for personal growth, professional growth, and firm growth.

•       Provide support in transitioning books of business acquired by the firm through acquisitions, mergers, or hiring of additional advisors

Client Services

•       Act as the primary contact for client service questions, issues and problem resolution, including escalation of items as necessary

•       Work seamlessly with B/D, affiliated organizations, and other product companies to handle client service requests, escalating issues when appropriate and making suggestions for improvement to their systems and process

•       Build, maintain, and utilize support systems such as:  Peer groups, training cohort groups, and administrative personnel withing partnering organizations to establish or improve processes, software, and simplify tasks required of clients, client portal experience, and other areas of client interaction

•       Participate in, or lead on your own, client meetings as necessary and appropriate.

•       Conduct paperwork signing appointments

•       Send requested documentation to clients and/or other member of their advisory team (CPA’s, attorneys, etc.)  as appropriate

•       Provide clients technology assistance and training, as needed or requested

Operations

•       Prepare new client/account paperwork and ensure successful signing, filing, and documentation

•       Communicate progress of new client on boarding to Advisor(s), team, and as appropriate the client

•       Track all client updates and interactions with comments and documentation in CRM, as well as assign and complete client-related tasks in CRM

•       Work with the team to address workflow issues as needed

•       Prepare client review materials and ensure that data required for review is accurate

•       Prepare paperwork for client transactions, including, but not limited to opening new accounts, closing accounts, transferring assets, deposits, withdrawals, account title changes, address changes, etc.

•       Monitor, prepare and process IRA, QCD, CRT and other distributions

•       Assist with the client resignation / termination process

•       Manage the annual Required Minimum Distribution (RMD) process, including tracking and reporting to associated advisor(s) throughout the year as communicated by advisor(s) or President. 

•       Prepare and process Insurance and Annuity paperwork

•       Maintain physical and electronic client files

•       Follow up on hourly billing

•       Assist in scheduling client or industry partner appointments

Technology

•       Maintain office vendor contracts / relationships for assigned technology

•       Assist in maintenance of firm CRM system 

•       Assist with additional technology responsibilities as directed

•       Provide input on implementing new technologies as you feel are appropriate to any part of the organization 

Marketing Support

•       Support firm marketing efforts as requested

•       Assist in planning and execution of client appreciation events

•       Positively represent the firm in the community, at conferences, seminars, events, etc.

Knowledge, Skills & Attributes

Required Qualifications 

•       FINRA SIE certification, or ability to obtain within 6 months of hire.

•       Preference of five (5) years financial services industry experience

•       Minimum of two (2) years in a client service / operations role

•       Strong problem resolution skills

•       Detail-oriented with a high degree of accuracy

•       Exceptional organizational skills: ability to multi-task and follow up with and meet deadlines

•       Highly competent computer skills, advanced knowledge of Microsoft Office Suite

•       Exceptional oral, written and interpersonal communication skills

•       Impeccable ability to maintain confidentiality and integrity

•       Positive attitude, personal organization and the ability to handle a heavy workload

•       Professional appearance and demeanor

•       Energetic, eager to learn and willing to cooperate

Preferred Qualifications 

•       FINRA Series 7

•       CFP®

•       FPQP®

•       Bachelor’s degree or related experience

•       Experience with Money Guide Pro and Redtail

Additional Comments

Nothing in this job description restricts management’s right to assign or reassign duties and responsibilities to this job at any time.