Senior Client Services Associate

Job Description Job Description We are an independent, established wealth management firm looking for an experienced client-centric associate to join our team in San Jose’s vibrant downtown Willow Glen. The ideal candidate is a team player and will be the lead on client operational implementation. The primary role will be in operations to support the lead advisors via their daily interaction with the firm’s clients. The ideal candidate thrives being part of an intimate team and enjoys the camaraderie of being in-office together 4 days/week.
Essential Duties and Responsibilities:
Lead support to advisor team and provide service to the firms’ 170+ client households
Responsible for appointment preparation and post-appointment follow up for new and current clients – including assembling the required paperwork (mostly DocuSign) and forms, account reviews, and post appointment logs and data entry into financial planning software
Ensures that all assigned activities are executed in a timely and accurate manner, and that all documentation is maintained to compliance standards
Will independently meet with clients to perform account opening procedures and obtaining appropriate signatures while also being able to answer basic questions regarding paperwork/DocuSign forms.
Handles various administrative functions for the advisors such as opening new accounts, acquisition and transfer of assets, splitting of assets as a result of divorce or death
Participates in ongoing periodic projects (client events, analysis/recommendations of new potential software, coordinate with vendors)
Analyzes client information and preparing reports/presentations (strong use of Excel and Word)
Proactive follow up with clients on firm’s action items from client progress meetings
Interfaces with the broker/dealer and custodian to obtain information and account data and convey service requests, fill out necessary forms and perform routine tasks
Maintains and updates pertinent client information in the CRM system (Redtail)
Sets up and retrieves reports in the portfolio management systems (Envestnet & Albridge)
Proactively maintain professional appearance of the office areas and greet clients with genuine positive attitude
Acts in concert with our team to develop strong professional client relationships
Proactive team contributor and integrity to self-manage required working hours
Experience :
Four year college degree required
5-7 years client service work experience
Minimum 3 years experience working directly with a Financial Advisor strongly preferred
Skill Set:
Understands the why behind each task and knows when to ask clarifying questions
Skilled communicator, both verbal and written, with both colleagues and clients
Ability to work independently within team structure, exercise good judgment and meet deadlines
Proficiency in servicing and enhancing professional client-advisor relationships
Detail-oriented, consistent and accurate (mistakes cost the firm measurable dollars)
Adaptable multi-tasker that looks to take initiative
Ability to thrive in fast-paced environment
Knowledge of Redtail, Riskalyze, eMoney and/or Envestnet a plus
Must have experience using Outlook and demonstrate intermediate to advanced knowledge of Microsoft Office functions
Ability to run math calculations in their head with confidence
Able to quickly master the general tools of the profession such as financial planning software, analytical tools and broker/dealer or custodian web-based systems
Salary: $80,000 - $105,000 (commensurate w/ experience + any Securities licensing and/or professional designations held). Additional bonus compensation opportunities after 1st 6 months.
We are an active, innovative and tight-knit team that enjoys an in-office game of foosball to break up our day. We have a professional and open workspace located in the heart of Willow Glen. We offer a comprehensive compensation package commensurate with experience, skills and licensing. Benefits package includes 15 paid holidays, PTO based on tenure, 401k (with a company match), health insurance, group disability, group life, group vision and dental.
Securities offered through Kestra Investment Services, LLC (Kestra IS), member FINRA / SIPC . Investment advisory services offered through Kestra Advisory Services, LLC (Kestra AS), an affiliate of Kestra IS. Transitions Wealth Advisors is not affiliated with Kestra IS or Kestra AS.
Company Description We’ve built a practice where people and purpose come first. We believe the best financial outcomes begin with real relationships. We’re more than a group of professionals – we are a strategically coordinated team that works together to simplify complexity, anticipate life’s transitions, and help our clients make confident decisions with their money. Company Description We’ve built a practice where people and purpose come first. We believe the best financial outcomes begin with real relationships. We’re more than a group of professionals – we are a strategically coordinated team that works together to simplify complexity, anticipate life’s transitions, and help our clients make confident decisions with their money.