Summary/Objective

The Client Associate provides administrative and operational support to one or more Wealth Advisor or partner of the firm. The Client Associate assists with private client daily needs. Responsibilities include; new account opening, creating households, cashiering, ACH transfers, assisting clients, researching problems, maintaining account records and preparing client communication.

Essential Functions

Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

• Answering phones, greetings clients and maintaining calendars for multiple Wealth Advisors.
• Assisting clients.
• Analyzing reports to determine appropriate action to be taken on behalf of client accounts.
• Researching client issues.
• Preparing and processing client documentation.
• Opening new client accounts as well as creating households.
• Maintaining client records.
• Assisting in reconciling performance reports.
• Executing cashiering, money movement, and ACH requests.
• Preparing client communication.
• General office management.

Competencies

• Communication Proficiency.
• Teamwork.
• Technical Capacity.

Supervisory Responsibility

This position has no supervisory responsibility.

Work Environment

This job operates in a professional office setting. This position uses common office apparatus such as computers, phones, photocopiers, filing cabinets and fax machines.

Physical Demands

The physical demands described here represent those that are required by an employee to successfully perform the essential job functions.

This job requires the employee to regularly talk and hear. Additionally, the employee is often required to stand; walk; use wrists, hands, and fingers to type, handle or feel; and reach with hands and arms.

Position Type/ Expected Hours of Work

This is a full-time position where the employee is expected to be in the office Monday through Friday from 8:30a.m. to 5:00p.m.

Travel

Travel is not predicted for this job.

Community and Volunteer Activities 

The GYL team routinely supports a number of charitable organizations and activities. It is strongly encouraged that the Client Associate is willing to occasionally, as their schedule permits, participate in activities with other team members.

Additional Eligibility Qualifications

• 1-3 years of operational experience within the financial services industry.
• Bachelor’s Degree required.
• Must have strong organizational and prioritization skills.
• Ability to work independently to research and resolve client issues.
• Must have an understanding of appropriate paperwork and procedures necessary to process transactions.
• Client services oriented.
• Strong attention to detail.
• Must be computer literate and proficient with Windows, Word, and Excel.
• Schwab and Fidelity platform experience would be preferred.
• Ability to multi-task.
• Work both independently and within a team.
• Ability to problem solve and determine the most effective method of problem resolutions while complying with corporate and regulatory procedures.

Required Education and Experience

• Education: Required – Bachelor’s degree; Preferred – Bachelor’s degree in Finance or related field
• Licenses: Preferred- active Series 65 or 66 or willingness to obtain license within 6 months of employment offer.
• Work Experience: Preferred – Worked with or in an RIA and has experience with Schwab and Fidelity
• Years of Experience: Required – 1-3 years of experience

Other Duties

Please note this job description is not a comprehensive listing of day to day activities, responsibilities, or tasks that are required of the employee for this job. Day to day tasks, responsibilities, and activities may change at any time with or without notice.