Client Service Associate (Private Wealth Management)

Job Description

Job Description

About Duncan Financial Group

Headquartered in Irwin, Pennsylvania – we help clients build and protect a better financial future. Our vision is to become the premier independent insurance and financial services organization that sets the standard for adding value to the lives of our clients, our employees, and our community stakeholders. At Duncan, we know that our greatest asset is our employees.   We offer a new standard of insurance and financial guidance that is unmatched in the industry. Family-run for over 45 years, our diversified professionals get to know the needs of every client to deliver award-winning service for all their insurance, wealth management, and accounting needs. Built on a solid foundation, our relationships last for generations.   Duncan Financial Group is quickly expanding both organically and through acquisition. With consistent and constant growth, we are continually seeking new talent to join us and continue to develop with us.

Client Service Associate (Private Wealth Management)

Position Summary:

The PWM Client Service Associate position will perform client servicing duties. The primary responsibilities of this position include the coordination of activities on behalf of the Advisor(s) and direct client servicing activities to meet goals and objectives relative to corporate standards and initiatives. 

The PWM Client Service Associate position works under the supervision of the Director of Operations with exercise of independent judgement. This position regularly interacts with other Private Wealth Management (PWM) & Retirement Plan Services (RPS) support employees, producing Advisors, all company departments, clients, and vendors. All interactions will provide exemplary and seamless customer service to Duncan Financial Group clients, both external and internal. The candidate will align with the practice management and business model of the independent advisor while following established company processes.

Key Responsibilities:

Client / Advisor Support 

• Answers client calls / emails and completes client service requests accurately and within set timeline standards 
  • Distribution / Contribution requests
  • RMDs
  • Check processing
  • Account maintenance forms / paperwork
  • Appointment confirmations (phone/email/text)
  • Death claims
  • Trade Review / Cases / Paperwork Status
  • Reporting of pending and new business
  • Monitors fee billing
• Manages Advisors’ calendars, scheduling of client/prospect meetings
• Coordinates travel on behalf of the Advisor
• Completes expense reports on behalf of the Advisor
• Prepares reports, marketing materials, agendas, and paperwork for client meetings
• Submits correspondence on behalf of the Advisor(s)
• Maintains compliance logs on behalf of the Advisor(s)
• Completes clerical duties such as sorting daily mail, photocopying, and scanning
• Documents client interactions in CRM
• Inputs account transactions (incoming & outgoing) at least quarterly
• Monitors DST Vision / NetX / Wealthscape for transactions
• Maintains paperless/electronic files for all clients
• Provides upcoming client review reports to Advisor(s) 
• Monitors advisor’s spam email folder
• Coordinates / plans executive and client events
• If licensed, notarizes client documents as requested

New Client/Account Implementation

• Creates client contact records in CRM and at broker dealer
• Prepares new client/account paperwork for broker dealer and vendors
• Follows up with client/advisor to complete missing information as needed 
• Monitors trade review, works with OSJ team to move submissions to completion
• Follows up with vendors and verifies establishment and funding of accounts
• Delivers all necessary disclosures on behalf of the advisor

Sales Support

• Supports Advisor(s) in sales cycle within HubSpot
• Creates client contact record in Redtail once “On-Boarding Process Started” step of sales cycle is reached using “New CL – Onboarding Workflow” and appropriate “NAcct” workflow
• Prepares materials for meetings (Wealthport, Morningstar or Y Charts proposals as requested by Advisor)
• Maintains paperless/electronic files for all prospects

Team Support

• Establishes and maintains regular meeting cadence with Advisor(s)
• Attends and participates in team and department meetings
• Attends or views recording of DAR Rep Call & DAR Admin Call
• Maintains data integrity with regular audits of CRM
• Collaborates with Advisor(s) and management to identify inefficiencies and continuously improve best practices within the department
• Maintains core processes, data integrity, workflows, and templates as assigned by director of operations
• Assists the Direct of Operations with projects and special duties as assigned
• Orders office supplies (varies by location)

Qualifications:

• High School Diploma or equivalent required
• 3+ years’ experience working in a client servicing role in an investment advisory firm preferred
• FINRA Securities Registration (Series 7, 63, 65, 66) or willing to obtain within first year of employment preferred
• Life, Accident & Health License preferred
• Experience with Retirement Plans a plus
• Working knowledge and practical experience with Microsoft Office Suite (Word, Excel, PowerPoint, and Outlook) required
• Experience with Customer Relationship Management (CRM) software, i.e., Redtail, and/or Agency Management System software preferred
• Analytical ability is required to interpret data and situations that are complex
• Ability to demonstrate effective interpersonal skills as well as sound judgement, professionalism, confidentiality and good decision-making skills
• Must be able to effectively organize and prioritize a high volume of activities
• Must be able to communicate effectively and professionally both verbally and in writing
• Employment is contingent upon the successful completion of all pre-employment requirements, which may include a criminal background check and credit history review, as permitted by law

Hours:  Monday - Friday, 8:00am-5:00pm

Office Location: 311 Main Street, Irwin, PA 15642 (Hybrid work options after training period)

Benefits:

• Competitive Compensation
• Health Insurance Plans (PPO, HSA, Copay Options)
• Dental Insurance
• Vision Insurance
• Company Paid Disability Insurance
• Supplemental Insurance including Critical Illness, Accident, Legal, Pet Insurance
• 401(k) with Safe Harbor Match
• Paid Time Off 
• Paid Holidays

No Solicitation Notification to Agencies:  Please note that Keystone and our Partner Agencies do not accept unsolicited resumes or calls from third-party recruiters or employment agencies. In the absence of a signed Master Service Agreement and approval from HR to submit resumes for a specific requisition, Keystone will not consider or approve payment to any third parties for hires made.