Experienced Client Service Associate - Wealth Management

Job Description

Job Description

We were founded with the goal of assisting our clients in every aspect of their financial lives. We provide the most personalized service available and strive for excellence in our industry. For each of our clients, we endeavor to create financial stability and security to provide financial independence. We have a blended business that includes investment advisory and brokerage services, qualified plans, annuities, and insurance, and we always do what is right for our clients. We take the time to listen to our clients and serve as trusted advocates, guiding them through tailored estate planning, retirement planning, investment management, tax strategies, and more. We combine experienced financial advice with a warm, client-centric approach. We are a small but nimble team, we value honesty, integrity, and transparency, and we never hesitate to help one another.

We are hiring an Experienced Client Service Associate to support our team, our clients, and our continued growth. You will play an important part in servicing, maintaining, and enhancing the strong relationships built with our clients. Whether it’s managing the phones, processing paperwork, opening new accounts, handling service requests, or coordinating and preparing for meetings, you approach each task with a service-driven attitude and outstanding accuracy and efficiency. In addition to having strong working knowledge of industry software, systems, and processes, you are exceptionally organized, detail-oriented, and committed to delivering a smooth, confidence-inspiring experience with every client interaction. You're an administrative pro and also a bit of a techie who loves learning and leveraging new technologies. You are proactive, naturally curious, and take pride in your work. You are always striving to be better and do better, consistently seeking ways to take tasks off the advisory team’s plate so they can focus on meeting with clients and delivering value. Your personal drive, initiative, and ability to manage competing priorities are what will make you successful here!

Main responsibilities for the position include:

• Answer, screen, and route phone calls, assisting clients directly or taking messages for other team members as appropriate
• Communicate, process, and follow up with clients on various client service items, including general questions, applications, withdrawal requests, beneficiary changes, etc., following all to completion
• Coordinate with the advisors and clients to complete and process new account paperwork, checks, transfers, contributions, and keep client accounts in good standing
• Service existing clients, including processing retirement distributions, paperwork for changing investments, preparing for client reviews, etc.
• Create and maintain accurate client records in the CRM system (Redtail), ensuring all confidential and required information is securely stored
• Monitor and streamline workflows for client service and business operations tasks
• Deliver superior client service; troubleshoot problems and serve as liaison between advisors and clients as needed
• Schedule appointments, maintain calendar, and coordinate scheduling internally and externally
• Communicate with the broker/dealer, product contacts, and vendors
• Follow, manage, and monitor task list, effectively prioritizing time-sensitive requests or issues
• Adheres to all compliance/risk procedures, follows corporate and industry protocols, and protects the interest of the client and the firm at all times
• Assist with other duties such as compliance logs, projects, reporting, research requests, and operational follow-up items as assigned

The ideal candidate:

• Bachelor’s degree highly preferred, or equivalent work experience
• 3+ years of financial services experience required; ideally in B/D or RIA environment supporting a financial advisor or similar setting
• Securities licensing (SIE, Series 6/7, Series 63/65 or 66)) highly preferred, but not required
• Life, Accident, and Health license (state of PA) highly preferred, but not required
• Knowledge of industry-specific software and systems required; familiarity with Redtail, eMoney, Envestnet, and NetX is a plus
• Experience with Pershing, Albridge, Osaic Broker Dealer Systems (Royal Alliance, Sagepoint, FSC, & Woodbury), Transamerica Retirement Plans, and Annuity and Direct Mutual Fund Online Services is a plus
• Tech-savvy and highly proficient in Microsoft Office suite (Excel, Word, and PowerPoint); strong ability to learn and apply new software systems quickly
• A commitment to excellence; detail-oriented, client-focused, and highly organized
• Excellent interpersonal and communication skills; ability to communicate in a pleasant, tactful, and effective manner (both orally and in writing), and to handle difficult, sensitive issues
• Strong time management skills; ability to prioritize and coordinate multiple work assignments and deadline efficiently despite frequent interruptions
• Proactive team player able to work in a fast-paced environment
• Must be willing and able to complete a background and credit screening as an employee of a FINRA-regulated advisor; final job offer is dependent on successful completion and approval by the broker/dealer firm