Client Service Associate

The Organization:

The Wealth Alliance is a rapidly growing investment advisory firm based in Melville, New York. Founded in 2019, they currently employ over 30 professionals, including Certified Financial Planners, public accountants, investment management analysts, and a top-tier team of service professionals. 

The Position:

We’re seeking an experienced Client Service Associate to join our growing wealth management team. The ideal candidate will have 5 years of experience in financial services client support, preferably working with high-net-worth individuals and families. This individual will play a critical role in delivering exceptional client service, managing complex account activities, and supporting Financial Advisors in all aspects of client relationship management.

The successful candidate must be self-motivated, positive, highly organized, and able to thrive in a fast-paced environment. They should possess strong problem-solving skills, demonstrate professionalism in all client interactions, and have the ability to work both independently and collaboratively.

Responsibilities:

• Serve as the primary point of contact for client inquiries, providing timely, accurate, and professional service via phone, email, and in-person interactions.
• Build and maintain strong relationships with high-net-worth clients, ensuring an exceptional client experience from inquiry through resolution.
• Facilitate all money movement transactions, including journals, checks, EFT/ACH transfers, and wire requests, while adhering to firm policies and fraud prevention procedures.
• Assist with account opening, transfers, maintenance requests, beneficiary updates, and other client service activities.
• Coordinate, schedule, and confirm client meetings and assist with meeting preparation and follow-up.
• Prepare client reports, portfolio reviews, and presentation materials for Financial Advisor meetings.
• Process investment purchases and sales on behalf of clients and Financial Advisors in
• accordance with regulatory requirements and firm policies.
• Support clients with online account access and navigation across custodial and financial platforms.
• Maintain accurate and confidential client records, ensuring compliance with regulatory requirements and firm standards.
• Identify, troubleshoot, and resolve client issues efficiently, collaborating with internal teams as needed.
• Assist with alternative investments, annuities, 1035 exchanges, 529 plans, and other specialized account transactions.
• Ensure all client interactions and account activities comply with applicable regulations, internal controls, and company policies.
• Perform additional duties and responsibilities as assigned to support the team and overall client experience.

Qualifications:

• Bachelor’s degree in Finance, Business Administration, Economics, or related field preferred.
• Minimum 5 years of experience in a client service, operations, or relationship management role within the financial services industry.
• Experience supporting high-net-worth clients and Financial Advisors preferred.
• Strong knowledge of brokerage, advisory, retirement, and investment account types.
• Familiarity with custodial platforms, CRM systems, financial planning software, and Microsoft Office Suite.
• Experience processing account openings, transfers, money movement requests, and investment transactions.
• Knowledge of alternative investments, annuities, 1035 exchanges, and 529 plans preferred.
• Excellent verbal and written communication skills with a professional and client-focused demeanor.
• Strong organizational skills with exceptional attention to detail and accuracy.
• Ability to prioritize multiple responsibilities and meet deadlines in a fast-paced environment.
• Proven ability to work independently while contributing effectively within a collaborative team environment.
• Series 7 and Series 63 or 65 licenses preferred, or willingness to obtain industry licenses.

Salary & Benefits:

• Competitive salary and bonus eligibility.
• Comprehensive benefits package including health insurance, company-paid life insurance, and paid time off.
• 401(k) plan with Safe Harbor employer matching contributions.
• Professional development and licensing support.
• Career advancement opportunities within a growing wealth management firm.

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