Transition Client Service Associate

Job Description

Company Overview:

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Summit Financial LLC is a $30 billion Registered Investment Advisory (RIA) firm that has been providing comprehensive financial planning and wealth management services to high-net-worth individuals for over 40 years. Consistently recognized for our expertise, Summit currently ranks in the top 40 of all RIA firms by Barron’s & Forbes and is one of the fastest growing RIAs in the country with over 200 advisors across 30 states and headquarters in Parsippany, New Jersey.

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Summary:

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Summit is looking to add a Transition Client Service Associate to support new advisors transitioning into the company. This person must be creative and enjoy working within a small, entrepreneurial environment that is sales and results oriented. The ideal individual will have the ability to exercise good judgment in a variety of situations, with strong written and verbal communication, administrative and organizational skills. The Client Service Associate must have previous experience working with a Registered Investment Advisory firm. Must be willing to travel as needed.

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Role and Responsibilities:

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• Client Service is a priority, previous experience working within an RIA/BD a must.
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• Partner with financial advisors and their staff to gather and organize client data from multiple sources to support account opening.
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• Reconcile and validate client account data to ensure accuracy and integrity during the transition process.
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• Act as the point of contact between the Financial Advisor and clients.
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• Process insurance & investment applications and paperwork.
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• Prepare agendas and supporting material for client meetings.
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• Develop a thorough understanding of the end-to-end account opening lifecycle to ensure all requirements are met and accounts are processed in good order.
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• Provide support and guidance to advisors and their teams regarding account-related inquiries and issues.
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• Assist with client transaction requests.
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• Schedule and coordinate appointments and manage calendars.
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• Sort incoming mail if applicable for advisors and team.
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• Collaborate closely with the Transition Team to provide ongoing operational support and maintain workflow efficiency.
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• Troubleshoot and resolve transition-related issues in collaboration with custodians and internal teams.
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• Participate in special projects, process improvement initiatives, and cross-departmental training and project opportunities.
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• Ability to multitask and prioritize daily workload.
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• Perform additional duties and responsibilities as assigned.
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Qualifications and Education Requirements:

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• Proficiency in Microsoft Office products including Outlook
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• Requires a minimum of 5 years’ experience in Financial Services
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• Bachelor’s degree preferred, but not required
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• Strong written and verbal communication skills and excellent customer service skills
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• Critical thinking and problem-solving abilities – Ability to think unconventionally in proposing potential solutions to issues.
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• Strong organizational and time management skills needed to prioritize workload, handle multiple tasks and meet deadlines.
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• Strong Microsoft Office skills, including Outlook.
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• Ability to travel up to 20% of the time.
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Preferred Skills:

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• Salesforce and eMoney knowledge a plus.
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• Previous experience working with a multi-custodial RIA a plus.
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• Experience with Fidelity Investments, Goldman Sachs, Charles Schwab, Pershing and Docusign preferred.
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