Client Associate

Client Associate

Requirements

• Must have SIE, Series 7 and Series 66
• Proficiency in Microsoft Office
• Strong communications skills (written and verbal)
• Detail oriented and organized with strong follow up skills
• Ability to take initiative and work independently with minimal guidance or supervision
• Candidate needs to be team-oriented and flexible to work with other Client Associates, PMs as well as Client Relationship Manager
• Candidate must be comfortable working in an environment with a seeing eye dog, as the portfolio manager relies on a guide dog for assistance.

Responsibilities

• Daily Interface with clients regarding account information, documentation, funds disbursements, charitable gifting, statement inquiries and online access
• Perform account maintenance tasks; checks and wires, RMDs, name/address/beneficiary changes, ACAT and DTC transfers, cost updates and miscellaneous requests
• Monitor and follow up daily activities of operational support and facilitate client service needs
• Initiate new account openings through the Centralized Business Services Team, assist clients with required documentation and explanations of procedures and oversee the transfer of assets
• General administrative tasks; scheduling client meetings, travel and expense reports and CRM tasks
• Oversee marketing initiatives including mass mailings, quarterly commentary, salesforce campaigns, coordinate logistics and maintain guest invitee lists for client events
• Prepare presentation material for current and prospective client meetings
• Maintain multiple addressees used to group clients for reporting and trading purposes
• Interact with operations and middle office to resolve any account or performance discrepancies
• Utilize Salesforce and Outlook to manage client information, track and monitor frequency of client contact and record notes and pertinent information from client meetings (i.e. strategy or asset allocation updates)
• Review and process quarterly billing; includes adding new or removing closed accounts, adjusting account information, updating fee schedules and family groups, providing account specific invoices and monitoring accounts receivables
• Position has the opportunity for increasing responsibility and growth, including training for financial planning and/or preparation for Certified Financial Planner.

Preferred Qualifications

• 1-2 years of client service or support in the financial services industry preferred
• Salesforce knowledge and experience is a plus