Job Description
We are seeking a proven and seasoned Client Service Associate to provide support and assistance to financial advisors of a wealth management client in NYC. This role is a combination of client service and operations focused on providing excellent service to both the advisors and their clients.
Examples of day-to-day responsibilities include:
Facilitate new account set up at the custodial and broker dealer level; follow up on fund transfers from legacy custodian relationship to the firm
Respond to and resolve client requests; complete necessary financial paperwork to execute client recommendations, change beneficiaries, establish trusts, etc.
Ensure accurate completion of prospective and new client paperwork and set up within the firm
Maintain (CRM) database and client files (Filing, copies, data input)
Research and follow up on any issues with the Broker/Dealer, Operations, and vendors.
Review client accounts on a regular basis to ensure completeness and remediate found issues.
Learn Company product suitability guidelines, financial operational processes, and financial sales processes.
Support client service functions for all teams as requested, such as servicing phone calls from advisors and custodians, coordinating projects, prioritizing advisor tasks and requests, account transfers, account updates, cash distributions, and following up on any other client related issues along with various other work assigned by financial advisors.
Help with new broker onboarding and client account openings.
As a Client Service Associate you will have the opportunity to work to support the success of our high growth financial advisors and brokers. The position is an in-office, team-based role with a high level of on-going collaboration, interaction, and communication.
Required Skills & Experience
3+ years industry experience as a client service associate
Series 7 and 66, or 7, 65, and 63 licenses with a clean regulatory record
Working knowledge of FINRA and SEC rules and regulations required
Excellent customer service and communication skills
Drive to provide exceptional care to clients and registered representatives.
Comfortable and proficient using custodian and other industry technology such as Microsoft Office, Excel, Word, etc.
Nice to Have Skills & Experience
- 4 year degree in Finance or a related field
- Experience working with Schwab and/or RBC is a plus.
- Experience with My Compliance Office a plus
- Experience working with CRMs is a plus.
Benefit packages for this role will start on the 31st day of employment and include medical, dental, and vision insurance, as well as HSA, FSA, and DCFSA account options, and 401k retirement account access with employer matching. Employees in this role are also entitled to paid sick leave and/or other paid time off as provided by applicable law.