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Client Service Associate

Foundation Financial Advisors
Baltimore, Maryland
$45,000-$65,000 plus benefits
Closing date
Nov 14, 2022

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Job Role
Customer / Client Support Specialist
Employment Type
Full Time
Experience Level
1-4 years
CFP® Certification
Not necessary
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This position provides support to the financial advisor of a rapidly growing wealth management practice, interfacing with clients and maintaining operating efficiency with paperwork and software programs.

Principal responsibilities

  • Help advisor prepare for client meetings.
  • Meet with clients to complete paperwork; ensure all required forms are completed fully and accurately.
  • Track all pending business paperwork; when documents are outstanding, update pending business summary sheet for advisor’s attention; track and tally all outstanding work weekly.
  • Anticipate advisor needs and handle them proactively.
  • Use excellent customer service skills to build client relationships.
  • Answer phone and handle all client service issues within capacity
  • Make suggestions to systematize and improve office functions.
  • Use CRM system efficiently to schedule client meetings and marketing activities and to enter new contacts.
  • Use Commonwealth’s services, such as COMMunity Link® and online trading, efficiently. Regularly review Commonwealth news items, technology updates, and e-mail communications; report pertinent information back to advisor.
  • Conduct research on Morningstar® or COMMunity Link® as directed by the advisor.
  • Assist with seminars as directed by the advisor.
  • Place trades through Commonwealth at advisor’s direction, if licensed.
  • Assist with data entry of all client financial information. Draft letters, as directed by advisor.
  • Prepare and send outgoing mail.

Required knowledge/skills/competencies

  • BA or BS preferred Three years of experience in the investment/insurance industry; experience working with National Financial Services (NFS) processes and forms a plus
  • Exceptional customer service experience FINRA Series 6 or FINRA Series 7 registration; FINRA Series 63 a plus
  • Proficiency with computer programs, including MS Word and Excel, CRM, Wealthscape℠, and Morningstar®
  • Ability to interact with people across all levels of the business
  • Attention to detail Ability to effectively prioritize workload and meet deadlines
  • Sophisticated organizational skills, including physical resources (such as files, manuals, etc.) and nonphysical resources (such as calendars, appointments, events, client contact records, images, etc.)
  • Familiarity with basic marketing concepts and practices
  • A self-starter who can work independently
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