Client Service Associate

Key Responsibilities

• Service a high volume of daily interactions, including basic inquiries and scheduling of meetings, with prospective and existing clients via phone, in-person, virtually, and through mailings.
• Process client financial transactions and financial advisor/branch office expenses and expense reports with a high level of organization and accuracy.
• Open new client accounts and research client and security information using internal databases and other technologies.
• Ensure client paperwork and documentation is accurate and correct prior to submission and processing for proper maintenance and to meet firm and industry requirements.
• Follow up to ensure accurate completion of client paperwork.
• Prepare letters, forms, and reports to assist with servicing existing clients and prospecting for new clients.
• Prepare various business summary reports and client-specific reporting as needed for review by the financial advisor.
• Create and maintain records and files utilizing Client Relationship Management (CRM) software.
• Assist Financial Advisors with marketing efforts, including seminars and other client-facing events.
• May enter orders at the direction of the Financial Advisor.
• Actively engage in available training/cross-training and educational/professional development opportunities.
• Perform other duties and responsibilities as assigned.

Requirements & Tech Stack

• Client Relationship Management (CRM) software, or similar contact management software.
• Excel, including developing spreadsheets for ongoing reporting.
• Effective communication across multiple client interactive platforms (in-person, virtual, phone, and mail).
• Ability to operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
• Ability to analyze and research account information.
• Ability to organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment.
• Ability to identify time-sensitive items and assess competing priorities.
• Ability to take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions, or concerns.
• Ability to handle stressful situations and provide a high level of customer service in a calm and professional manner.
• Ability to analyze problems and establish solutions in a fast-paced environment.
• Use mathematics sufficient to process account and transaction information.
• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually.
• Ability to work both independently and as part of a cohesive team.
• Provide a high level of customer service.

Knowledge

• Company’s working structure, policies, mission, and strategies.
• General office practices, procedures, and methods.
• Investment concepts, practices, and procedures used in the securities industry.
• Financial markets, products, and industry regulations.

Qualifications

• Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance, or High School (HS) (Required).