Client Service Associate

I. MISSION

The Client Service Associate at our Client is an integral part of their team serving as the true connection between their clients, and the entire team. This great communicator, influencer and enthusiastic person will support the vision, positive culture and team spirit across our firm and clients.

The key role of this position is to engage and support the overall success of many different projects and initiatives and by working side-by-side with our Advisory, Investment Management, Financial Planning, and Client Services teams. The Client Service Associate focuses on team engagement, client success, and project managing assignments. This individual enjoys and excels at managing the day to day operations, human resources, communications, investment management, compliance, and technology.

This position requires a pro-active approach and an ability to independently carry out the duties of the position. The ideal candidate will exhibit high standards, excellent communication skills, good judgment, and an ability to take initiative, and prioritize daily tasks. The ability to effectively manage time and multi-task with attention to detail is critical to this role. The Client Service Associate must be confident about decision-making under uncertainty and under extreme time pressure.

ESSENTIAL RESPONSIBILITIES

Client and Firm Engagement

Provides administrative support as needed: answers calls, manages contacts, manages schedules, produces reports, and creates presentation materials
Maintains and retains office files consistent with firm/professional policies and requirements
Supports marketing and client events as requested including newsletters, blog, social, website, communications, office events, etc.
Conducts other administrative related tasks and projects as needed
Sends paperwork to clients using the electronic signature system while adhering to the Custodian’s compliance rules pertaining to electronic signatures
Quality check and submit custodial items for processing
Focused Specialty on single area such as compliance, HR, marketing, or Financial Planning functions.

Advisory

Engage and support weekly Client Prep meetings, ensuring Advisory and Client Services teams are ready and prepped for upcoming client meetings
Support client onboarding requirements with for financial planning and investment management applications
Prepare and produce back-office support demands for basic client account requests
Support back-office initiatives and/or core projects that support Advisory teams
Gather and prepare necessary information for advisory meetings with clients.

Compliance

Supports Compliance to maintain an effective and robust investment advisory compliance program
Conducts certain compliance program tests
Performs other compliance related tasks and projects as assigned

III. POSITION SPECIFICATIONS

Experience and Education:

Bachelor’s degree preferred
0-4 years of experience in Client Service role
MS Office Proficiency

Skills and Knowledge:

Excellent communication skills (verbal, written and listening)
General tech stack proficiency
Knowledge of RIA operations, regulations, compliance, and oversight
Demonstrates personal integrity, honesty and can deal with confidential information daily
Ability to handle stress in an ever-changing investment market
Excellent time management and strong organizational skills
Ability to prioritize multiple tasks and anticipate potential problems