Client Service Associate - Financial Services

Job Description

Our firm is a premier, family-owned financial and tax management firm based in beautiful Santa Barbara, California. Since our founding in the 1960s, we have been dedicated to providing comprehensive wealth management, investment strategies, and personalized tax planning for our clients, their families, and their legacies.

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As a multi-generational firm, we take pride in building deep, long-lasting relationships rooted in three core values: Integrity First, Clear Communication, and Service Above Self. We operate under a fiduciary standard, meaning our clients' financial well-being always comes first. Our practice operates off a team-based, collaborative approach where every role is vital to anticipating and addressing our clients' needs.

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Our goal is to minimize the burdens standing between our clients and their financial freedom so they can focus on enjoying the moment. Our clients expect a high-touch, white-glove experience, and this role plays a big part in making them feel known, welcomed, and taken care of. We are looking for a dedicated self-directed Client Service Associate who shares these values and is excited to grow with us as we serve our community and beyond.

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Position Overview

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As the Client Service Associate, you will take a leadership role in ensuring an exceptional client experience while supporting our financial advisors. This position involves managing complex client service requests, overseeing operational workflows, ensuring compliance, and driving process improvements. Additionally, you’ll manage incoming calls and schedule appointments. If you are highly organized, proactive, and thrive in a collaborative environment, this role offers an opportunity to make a significant impact.

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What We’re Looking For

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• Advanced Organizational Skills: Skilled at managing multiple priorities and complex processes with precision.
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• Exceptional Communication: Strong verbal and written communication skills for client interactions and team coordination.
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• Technical Expertise: Proficient in Microsoft Office Suite; advanced experience with CRM systems and financial platforms preferred.
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• Industry Expertise: In-depth knowledge of financial services, securities, compliance practices, and regulatory requirements.
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• Strategic Thinker: Capable of identifying process improvements and implementing best practices.
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Key Responsibilities

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Client Service & Administrative Leadership

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• Serve as a primary point of contact for client inquiries, providing timely and professional responses.
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• Oversee preparation and processing of client applications, transfers, and service requests with accuracy and efficiency.
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• Maintain and audit client records for compliance and operational integrity.
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• Coordinate with custodians and sponsor companies to resolve service issues.
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Compliance & Documentation

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• Ensure strict adherence to firm and industry compliance standards.
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• Prepare and process client applications, transfers, and service requests accurately.
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Operational & Team Support

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• Lead CRM data integrity initiatives and generate advanced reports for business analytics.
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• Support advisors with high-level meeting preparation, including complex reports and presentation materials.
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Tax Preparation Support

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• Prepare tax questionnaire and tax preparation deliverable for mailing to clients.
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• Maintain tax database and track status of tax filings
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• Process and deliver client tax documents to financial advisors.
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Compensation & Benefits

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• Subsidized Health insurance
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• Fully covered Life, AD&D, Dental and Short- & Long-term Disability
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• Paid holidays, vacation, and sick days [21 or 23 days]
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• 401(k) retirement plan non-discretionary 3% match
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• Professional development and licensing support
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• Growth opportunities within the firm
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Requirements

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• In Office 4 days a week 1 day remote (excluding tax season)
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• Bachelor’s Degree
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• Financial Office Experience (minimum 4 years; 7+ years preferred)
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• CRM experience required
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