Client Service Associate

Job Description

Job Description

Client Service Associate
Reports to: SVP of Custodial Operations
Status : Exempt
Hybrid 

We are seeking a dedicated and proactive Client Service Associate to join our Client Service Operations Department and our esteemed wealth management team. The ideal candidate will play a vital role in ensuring exceptional client experiences by providing high-quality service and support. 

Duties:

Core Operational Support

• Provide back-office investment operations support to advisors and clients through Salesforce tasking and custodian execution, including:
  • New account openings
  • Money movement requests
  • Account transfers (ACATs and non-ACATs)
  • Address changes and account updates
  • Client distributions and RMDs
  • Contributions and deposits
  • General account service requests
• Assist in the onboarding of accounts as part of advisor and client Transitions to ensure a smooth, accurate, and timely onboarding experience.
• Document, track, and complete all assigned tasks with accuracy and attention to detail.
• Ensure all activities adhere to regulatory and firm compliance standards.

Custodian & Internal Coordination

• Work closely with custodial partners such as Fidelity, Pershing, Schwab, and Raymond James.
• Coordinate with internal teams to ensure timely and seamless processing across departments.
• Research and resolve account-related issues by collaborating with custodians, carriers, and internal stakeholders.

Brokerage & Direct-Held Support

• Deliver comprehensive servicing for complex advisory and brokerage (commission-based) relationships.
• Support the administration and ongoing maintenance of brokerage accounts, ensuring compliance with FINRA and custodian regulations.
• Assist advisors with brokerage-specific forms, disclosures, and documentation, ensuring accuracy and timely submission.
• Maintain strong knowledge of direct-held business, including carrier requirements, processes, and documentation.

Complex Case Management & Escalations

• Apply critical thinking and problem-solving skills to resolve complex client inquiries and service issues.
• Manage client and custodian escalations, providing timely and satisfactory resolutions that enhance the client experience.
• Oversee complex account openings, ensuring full compliance with regulatory requirements and firm policies.

Process Improvement & Documentation

• Help document, update, and maintain departmental processes and procedures.
• Identify opportunities to improve efficiency and streamline workflows.
• Demonstrate advanced proficiency in brokerage and investment operations to support ongoing refinement of best practices.

Minimum Education:

• College degree

Skills and Experience:

• 3+ years recent financial services industry experience required
• Self-starter and motivated to learn
• Familiar and competent in the Windows suite of programs, along with Adobe Acrobat
• Embraces working on a team
• Strong communication with clients both verbally and written
• Familiarity with Salesforce preferred
• Experience servicing and opening accounts on a custodial platform required
• Industry licensing (not required)
• Skilled in multi-tasking, follow-up, and managing priorities effectively
• Strong analytical, problem solving, and organizational skills

 

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