Client Service and Trading Associate

Job Description

Job Description

COMPANY SUMMARY:

This RIA is a nationally recognized, ultra-HNW wealth management and family office that provides comprehensive investment management, financial planning, and fiduciary advisory services. It is part of one of the larger independent RIAs in the country ($77B in AUM), serving both private HNW and institutional clients. The firm has approximately $15B in AUM and is located in Century City.

PRIOR OR CURRENT WEALTH MANAGMENT OR BANKING EXPERIENCE WITH TRADING AND CLIENT SERVICE SKILLSET REQUIRED.

POSITON OVERVIEW :

This CSA/Trading Associate is responsible for extensive client contact and is involved in all activities surrounding prospective and existing clients. Responsible for the completion of all tasks related to client servicing from the beginning of the client relationship (client onboarding) to the ongoing maintenance and servicing of accounts.

At least 5 years of relevant experience in a client associate role with trading experience and relevant licensing to trade, if applicable.  We are looking for more of a client service and operations/trading role rather than a junior advisor role. While our platform has grown, each team essentially runs like an entrepreneurial small business, so the candidate should be comfortable in a less structured, fast paced environment. 

This is an in-person role in Century City.

RESPONSIBILITIES :

·        Provide advisory and administrative support for two Financial Advisors and in wider firm projects as needed.

·        Handle all trading of primarily ETFs and Mutual Funds as it relates to capital calls, funding and distributions.

·        Client servicing, account opening, client onboarding, and on-going account maintenance requests (address changes, new account features, documentation requests etc.).

·        Daily money movement requests including coordinating cash availability with senior teammates.

·        Completion of alternative investment subscription documents for both firm funds and outside direct investments.

·        Ad hoc project management/data clean-up projects (internal and client requested)

·        Communicate with HNW clients regarding transactions such as asset transfers and account opening procedures, while keeping teammates appraised of process milestones.

·        Develop working relationships with custodians (Schwab & Fidelity), clients, and their intermediaries (accountants, business managers, attorneys, etc.).

·        Maintain Salesforce CRM and being comfortable using AI

·        Perform administrative duties that support Advisors in daily business practices such as updating calendars and scheduling meetings.

·        Track outside investments for clients, as necessary.

QUALIFICATIONS

·        Relevant bachelor's degree in finance preferred; 5 years equivalent experience at a minimum preferred with trading and client service experience

·        FINRA Series 65 license is a plus for the position; not mandatory prior to hiring but preferred for growth and more job responsibilities

·        Proven ability to work independently while competently handling and prioritizing multiple tasks, with a high degree of accuracy, in a high-pressure environment

·        Strong attention to detail and organization skills required

·        Must be comfortable working directly with ultra-high net worth families and individuals

·        Must be proficient with Microsoft Office Suite, especially Excel

·        In office training is required, and due to the sensitivity of client data, working in office thereafter is highly preferred

Gaynor Staffing & Consulting is the right choice whether you are seeking a new employee for your company or you are a candidate looking for the right position. Christie brings over 20 years of experience working across multiple industries. She is compassionate, listens and values open communication to ensure a client’s and candidate’s needs are met. She is proud of the loyal relationships she has developed over the years as a trusted partner for her client’s staffing needs and she believes in finding long-term work homes for the candidates she works with.

Company Description

Gaynor Staffing & Consulting is the right choice whether you are seeking a new employee for your company or you are a candidate looking for the right position. Christie brings over 20 years of experience working across multiple industries. She is compassionate, listens and values open communication to ensure a client’s and candidate’s needs are met. She is proud of the loyal relationships she has developed over the years as a trusted partner for her client’s staffing needs and she believes in finding long-term work homes for the candidates she works with.