Operations & Advisor Client Services Associate

Job Description

Job Description

We are seeking an Operations & Advisor Client Services Associate to support both our home office operations and the day-to-day needs of a financial advisor’s practice. This person will help clients and advisors navigate account opening, paperwork, service requests, and meeting preparation while keeping work accurate, organized, and moving forward. The role is well suited to someone who enjoys working directly with people and can manage detailed administrative work in a busy financial services office.

Primary Responsibilities

Advisor and Client Services

• Serve as a point of contact for routine client questions and service requests, providing timely updates and directing matters to the advisor or appropriate team member.
• Schedule and confirm client meetings, coordinate the advisor’s calendar, and help prepare meeting materials and follow-up items.
• Assist clients with account opening, transfers, beneficiary changes, distributions, and other account maintenance paperwork.
• Prepare forms for client review and signature, check submissions for completeness, and follow up on missing information.
• Track outstanding requests and coordinate with advisors, custodians, and internal teams through completion.
• Maintain accurate client records and document service activity in the firm’s systems.
• Identify client needs or questions that require the advisor’s attention and ensure a prompt handoff.

Operations and Office Support

• Provide administrative and account support to financial representatives and home office personnel.
• Process and monitor account onboarding and maintenance requests in accordance with firm procedures.
• Use custodian and internal systems to research requests and support routine workflows.
• Answer the main phone line, direct calls, and assist visitors and clients professionally.
• Provide general administrative support as needed.
• Handle confidential client information carefully and escalate errors, unusual requests, or potential compliance concerns.

Qualifications

• Associate or bachelor’s degree required; coursework in business or finance preferred.
• General office or administrative experience required. Experience in financial services, client service, or an advisor’s office is preferred.
• Strong working knowledge of Microsoft Word, Excel, and Outlook.
• Clear written and verbal communication skills and a professional, helpful approach to clients and colleagues.
• Ability to prioritize competing requests, meet deadlines, and maintain accuracy in a fast-paced environment.
• Sound judgment, follow-through, and comfort learning new systems and procedures.

This is an administrative and client service role. Investment recommendations, securities transactions, and other activities requiring registration or advisor approval remain with appropriately registered personnel.

Saxony is a full-service Broker-Dealer and Registered Investment Advisor (RIA) headquartered in St. Louis, Missouri. We partner with entrepreneurial financial professionals who want the freedom of true independence without sacrificing ownership, control, or the high-touch service their clients deserve.

Advisors at Saxony gain the best of both worlds: the strength, resources, and technology of a large-scale platform combined with the flexibility and autonomy of independent business ownership. Our comprehensive suite of financial solutions empowers representatives to grow their practices with confidence, efficiency, and scalability.

Relationships are at the heart of everything we do. Our mission is to deliver unmatched support to both advisors and their clients, fostering trusted partnerships that drive lasting success. At Saxony, you’re more than part of a platform; you’re part of a community built on integrity, collaboration, and growth.

Company Description

Saxony is a full-service Broker-Dealer and Registered Investment Advisor (RIA) headquartered in St. Louis, Missouri. We partner with entrepreneurial financial professionals who want the freedom of true independence without sacrificing ownership, control, or the high-touch service their clients deserve.\r\rAdvisors at Saxony gain the best of both worlds: the strength, resources, and technology of a large-scale platform combined with the flexibility and autonomy of independent business ownership. Our comprehensive suite of financial solutions empowers representatives to grow their practices with confidence, efficiency, and scalability.\r\rRelationships are at the heart of everything we do. Our mission is to deliver unmatched support to both advisors and their clients, fostering trusted partnerships that drive lasting success. At Saxony, you’re more than part of a platform; you’re part of a community built on integrity, collaboration, and growth.