Senior Client Services Associate

Position Summary

We are seeking an experienced, highly organized Senior Client Service & Investment Operations Associate to join our financial services team.

This role is ideal for someone who enjoys taking ownership of client service and operational responsibilities from beginning to end. The successful candidate will be comfortable working independently, managing multiple priorities, troubleshooting issues, and coordinating with clients, investment platforms, custodians, insurance carriers, and other outside partners.

This is not simply an administrative support position. We are looking for someone who can identify what needs to happen next, follow an issue through resolution, and help improve the processes our team uses to serve clients.

Key ResponsibilitiesInvestment Operations

● Open and maintain investment accounts across multiple account types, including retirement, trust, and entity accounts

● Determine required paperwork, documentation, signatures, and system steps

● Process and track withdrawals, deposits, transfers, and other approved transactions

● Troubleshoot delayed transactions, rejected paperwork, and missing requirements

● Coordinate with custodians and financial institutions to resolve account issues

● Handle account maintenance and information requests for complex client households

Client Service & Review Preparation

● Serve as a point of contact for client service requests and take ownership through completion

● Prepare quarterly and annual client-review materials

● Gather investment, insurance, account, and household information

● Identify and resolve missing, outdated, or inconsistent information

● Communicate proactively with clients regarding outstanding items, delays, and next steps

● Professionally handle difficult client situations and escalate when appropriate

Insurance & Case Support

● Process beneficiary changes, policy-service requests, and in-force information

● Support and track Vitality

● Making sure Variable policies are compliant with the broker

CRM, Workflow & Follow-Up

● Maintain accurate client and household information across firm systems

● Manage complex households involving multiple family members, trusts, entities, accounts, and policies

● Maintain reliable task and follow-up systems

● Proactively follow up with clients, custodians, carriers, and vendors

● Prioritize responsibilities based on deadlines, client impact, and compliance considerations

● Recognize situations requiring additional review or escalation

Process Improvement

We are particularly interested in someone who looks beyond completing today’s task and considers how the process could work better tomorrow.

This person will help:

● Identify recurring operational issues

● Improve checklists, workflows, and follow-up processes

● Document procedures for complex or unfamiliar requests

● Identify opportunities to prevent errors

● Share knowledge and cross-train team members

Qualifications

Required:

● Hands- on with Microsoft office (Word, , PowerPoint, AI tools)

● Hands-on experience opening and servicing investment accounts

● Experience processing client transactions and service requests

● Strong organizational, follow-up, and problem-solving skills

● Excellent attention to detail

● Ability to independently manage multiple priorities and deadlines

● Strong written and verbal client communication skills

● Good judgment regarding when to proceed independently and when to escalate

Preferred:

● Experience in an independent financial advisory or wealth-management practice

● Experience working with investment custodians/platforms

● SmartOffice or comparable financial-services CRM experience

● Life insurance policy-service or underwriting experience

● Experience with trusts, entities, retirement accounts, and complex households

● Experience improving workflows or training team member.

● Prior , investment operations, brokerage operations, or a related environment

What Success Looks Like

A successful hire will be able to independently manage a meaningful portion of the firm’s investment and client-service workload, proactively follow up on outstanding requests, identify and resolve operational issues, maintain accurate client information, and contribute to stronger team processes.

Most importantly, we are looking for someone who can take ownership of an issue, determine what needs to happen next, and see it through to resolution.

Pay: $50,000.00 - $55,000.00 per year

Benefits:

• 401(k)
• Dental insurance
• Health insurance
• Paid time off
• Vision insurance

Work Location: In person

Salary : $50,000 - $55,000