- Microsoft Word
- Microsoft Powerpoint
Client Service Associate
The Client Service Associate is responsible for maintaining and enhancing the firm 's high standards of service to our clients, prospective clients and the general public by responding to their requests, reaching out to them, and solving their problems in a timely and professional manner. In addition, you will have a central role in assisting the financial advisor or financial planner by performing administrative duties that enable them to spend the majority of their time focused on the client relationship and the client's investment needs. This position is vital to the firm 's vision of exceptional service and will help the firm remain viable and grow.
Responsibilities include but are not limited to:
Adhere to all compliance guidelines as issued through the Broker / Dealer and the securities industry – FINRA / SEC.
Maintain strict confidentiality and protection of all client, firm and advisor sensitive data.
Receive incoming client calls and email inquiries.
Schedule client appointments.
Courteous and competent communication with clients, prospects and the general public.
Use of office systems – printers, copies, scanners, postage machine, phone system, etc.
Proficient with Windows based software including MS Word, Excel, Power Point, and Publisher.
Type and word process using proper grammar and punctuation.
Prepare, process, document and track all client paperwork as needed.
Handle client service requests – distributions, change of address, beneficiary updates, etc.
Track client account activity, trades, reallocations, updates, distributions, action items, etc.
Update and maintain all data regarding: account registrations, investor profile data, etc.
Utilize Red Tail data base and associated workflows.
Utilize software imaging while transitioning to a paperless environment.
Assist supervisory staff and financial advisors as needed.
Prepare account review material as appropriate.
Assist in projects as assigned.
Participate in meetings as applicable.
Ongoing training, meetings and conferences as appropriate.
Assist with client marketing events and seminars as needed.
Adhere to the firm’s stated policies and quality standards.
Required Skills and Experience
Knowledge and understanding of the financial services industry.
Excellent oral and written skills.
Excellent follow-up and follow-through capabilities.
Organized, detail oriented with the ability to multi-task.
Able to interact well with sophisticated, high-net-worth clients and prospects.
Able to exercise good judgement, prioritize and rectify urgent client service matters.
Professional attitude and appearance.
Able to work independently with good problem solving skills and effective time management.
Willingness to learn, train and advance their career in financial services.
Willingness to participate in Human Resources development
Goal setting and accountability..