Private Wealth Management Client Associate

Summary

The Client Associate (CA) provides overall administrative and operational client service support to Financial Advisors, Consultants, and Partners. As an integral position for the firm, the CA will ensure: client appointment preparation is complete; action item and follow-up reminders are timely and thoroughly addressed; proper prioritization has been defined; collaboration of business strategy to include marketing, new business lines and process improvements. The CA is responsible for providing an unforgettable first impression to prospective clients and serves as a positive and efficient client service resource ongoing.  Amazing way to learn the business, with significant growth opportunities.

Essential Duties & Responsibilities

Client Experience

• Working with highly affluent clients (High Net Worth)
• Responsible for ensuring all client needs are promptly and accurately addressed; serve as front office support to include welcoming clients and visitors to the office; politely answer telephone calls; address calls as appropriate or take detailed messages as needed
• Responsible for accurately answering initial questions from prospective or new clients. Source names of potential clients from existing clients
• Review and respond to all electronic correspondence; promptly address issues and concerns with professionalism and attention to resolution
• Maintain up-to-date client data in the contact management system and contact database for purposes of reporting, scheduling, fee tracking and marketing purposes

Practice Management

• The Client Associate is an integral part of the Firm’s team. Input, participation, and out-of-the-box thinking is encouraged and requested
• Provide knowledge and support to Advisor and serves as mentor and trainer to staff and team members

Wealth Management

• Create and maintain client files, prepare client forms and reports from rough draft and originating correspondence as requested by the firm’s Advisor
• Prepare deposits and scan incoming checks; process receipt of physical security certificates; maintain Time Stamp log; create and accurately process ACH’s and money transfers, journal entries, payments via check to outside vendors
• Establish and maintain client files to meet regulatory and compliance requirements, create and produce reports and databases for maintaining files and record keeping
• Create and close accounts; add power of attorney and trading authority as applicable, link life insurance and annuity accounts, complete client registrations and proactively address and follow-through on client service requests
• Answer non-advice-related client service issues by utilizing available resources, to include but not limited to, internal resources and the home office.

The Essential Duties and Responsibilities listed are not all inclusive; other duties as assigned will apply.

Required Qualifications

• Bachelor or Associates degree preferred; completed college coursework in conjunction with work experience will also be considered
• 2- 3 years industry experience is preferred but not required
• Willingness and ability to obtain FINRA licenses to include but not limited to Series 7, 66, and/or 63 to support professional growth
• Strong client service skills, first-hand experience interacting directly with customers; a genuine interest in serving and caring for our clients

Desired Traits

• Extraordinary customer service skills and presence while possessing a positive attitude through all client interactions
• Excellent oral, written and interpersonal communication skills; well-spoken both on the phone and in person; exudes a courteous, friendly, and professional demeanor
• Outstanding planning and organizational skills, efficient multi-tasker, effective follow-up, deadline focused; detail oriented and demonstrates a commitment to accuracy by delivering high quality work
• Possesses strong work ethics and morals; is driven and motivated to advancing their career through hands on experience and evolving industry knowledge
• Energetic, eager to learn, team player, willing to cooperate; self-motivated with ability to work both independently and under direction
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment; adapts to change in the work environment, manages competing demands and multiple interruptions
• Intermediate to advanced level computer skills.  Ability and willingness to learn and effectively utilize new technologies as requested and required