Client Service Associate - Financial Services

Job Description

Job Description

Your Future Team:

Our firm is an independent Registered Investment Advisor (RIA) located in Carlsbad, CA. Established in 2012, we have built a reputation for providing personalized financial guidance and developing meaningful, long-lasting relationships with clients, many of whom have been with the firm for generations. We are a close-knit and collaborative team that genuinely cares about its clients and one another. The culture is welcoming, while maintaining a strong commitment to professionalism, accountability, and exceptional client service. The team believes that getting to know clients on a personal level is just as important as understanding their financial needs, and they take pride in creating an environment where every client feels valued, supported, and cared for.

The Role:

As our firm looks toward continued, sustainable growth, we are seeking a Client Service Associate who shares our people-first approach and enjoys building strong relationships. You will join a team that values kindness, clear communication, a positive attitude, and a genuine passion for helping people. In this role, you will provide comprehensive administrative support to the advisory team and help deliver an exceptional client experience from onboarding through ongoing service. This position also serves as front office support, and a key responsibility is answering phone calls and interacting with clients. This is a full-time, in-office position, Monday through Friday.

What You’ll Do:

• Serve as the first point of contact for the firm by answering incoming phone calls and engaging with clients in a professional, courteous, and timely manner.
• Provide comprehensive administrative support to the advisory team, including managing schedules and preparing reports and presentation materials.
• Maintain and organize office files in accordance with firm policies and regulatory requirements, ensuring documents are easily accessible and up to date.
• Send client paperwork through the electronic signature system, adhering to the custodian's compliance rules, and follow up to ensure timely completion.
• Conduct quality checks on custodial paperwork before submission and manage the processing of forms, transfers, and account maintenance tasks.
• Participate in client prep meetings, ensuring all necessary materials and information are ready for upcoming client meetings.
• Support the client onboarding process by coordinating financial planning and investment management applications and ensuring a seamless transition for new clients.
• Assist with complex client account requests by gathering relevant data, preparing documentation, and providing back-office support for the advisory team.
• Provide administrative support for compliance by conducting tests, maintaining compliance records, and assisting with regulatory projects to ensure adherence to policies.
• Coordinate ongoing client meetings by managing scheduling, preparing necessary documentation, and ensuring financial advisors have all required materials and data to conduct effective and efficient client meetings.

What You’ll Bring:

Strong organizational skills

• Ability to manage multiple tasks, prioritize responsibilities, and maintain an orderly system for files and documentation.

Excellent communication skills

• Proficiency in both verbal and written communication to effectively liaise between advisors, clients, and financial institutions.

Attention to detail

• Ability to carefully check documents, forms, and reports for accuracy to avoid errors in client accounts and ensure compliance with regulatory requirements.
• Proficiency with office software and technology
• Experience with tools like Microsoft Office, CRM systems, financial planning software, and electronic signature platforms.

Problem-solving abilities

• Capable of quickly addressing administrative and operational issues that arise, ensuring smooth support for financial advisors and clients.

Entry-level Experience

• 2+ years of customer service related experience.
• A bachelor's degree in finance, business administration, or a related field is preferred but not required.
• Relevant internships or administrative experience in a financial services setting is a plus.

A plus, but not required

• Relevant internships or administrative experience in a financial services setting.
• Familiarity with financial planning, investment management, and custodial processes.
• Basic knowledge of industry rules and regulations, particularly relating to client documentation, custodial processes, and privacy laws.
• Financial industry certifications or licenses, such as the Financial Paraplanner Qualified Professional (FPQP) designation, FINRA Series 6, 7, or 65 licenses, or relevant coursework in financial planning or compliance.

What We Offer:

• $26.00-$31.00 per hour based on qualifications and experience
• Incentive bonus
• 401k plan with Safe-Harbor contribution
• Medical, dental, and vision insurance
• Life insurance and long-term disability insurance
• Generous PTO
• Paid NYSE market holidays
• Professional development support, including ongoing training, licensing, and relevant professional designations