Private Wealth Management Client Service Associate

About the Role

Registered Client Service Associates provide exceptional service to clients and support Financial Advisors (FAs)/ Private Wealth Advisors (PWAs)/ teams on a daily basis. Through regular interactions, this role builds trusted relationships. A successful candidate will have a client-first mindset, strong interpersonal skills, and the ability to assist clients with their everyday needs.

Key Responsibilities

CLIENT SUPPORT

• Support FAs/PWAs/teams in cultivating and enhancing new and existing client relationships
• Execute money movement transactions at the request of the client and/or FA/PWA/team
• Answer general non-investment related questions concerning client accounts, including relaying stock positions, and providing account balances (e.g., funds due and margin debit)
• Enter profile information or pre-fill account documentation on client accounts and/or documents in a clerical capacity at the direction of the client and/or FA/PWA/team
• Educate or enroll clients in digital tools (e.g., MSOnline, eSign, eAuthorization)
• Onboard and maintain client accounts, including collecting client information and required documentation in a clerical capacity at the direction of the client and/or FA/PWA/team
• Provide existing clients with details around their account information (e.g., investment objectives, risk tolerance)
• Accept or enter unsolicited orders and/or enter solicited orders in a clerical capacity at the direction of the FA/PWA/team
• Support FAs/PWAs/teams’ marketing strategy (e.g., website maintenance)
• Assist FAs/PWAs/teams in delivering against their business plan and client service model
• Remain current on all policies, procedures, and new platforms
• Participate in firm initiatives (e.g., training or education programs), special projects, and/or other duties directed by local management

ADMINISTRATIVE SUPPORT

• Answer inbound phone calls or make outbound calls with updates on service requests (e.g., scheduling follow-up calls with FAs/PWAs/teams as needed)
• Manage the calendar, including coordinating meetings or events with logistics such as material prep (e.g., maintaining agendas, sending calendar invites with Zoom credentials)
• Maintain travel itineraries, prepare expense reports, and manage the reimbursement process
• Assist with general in-office support functions such as copying, filing, and scanning documentation
• Prepare and submit expense reports for processing at the direction of the FA/PWA

Qualifications

Education and/or Experience

• High School Diploma/Equivalency
• College degree preferred
• Active Series 7 (GS), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA)
• Two or more years of industry experience preferred

Knowledge/Skills

• Knowledge of financial services products, including but not limited to equities, bonds, options, mutual funds, annuities, insurance, and managed accounts
• Detail-oriented with superior organizational skills and ability to prioritize
• Advanced Microsoft Office skills (Word, Excel, Outlook, and PowerPoint)
• Exceptional writing, interpersonal, and client service skills
• Strong time management skills
• Team player with the ability to collaborate with others
• Ability to work in a fast-paced, evolving environment
• Adaptable and able to multitask
• Goal-oriented, self-motivated, and results-driven