Client Service Associate (CSA)

Client Service Associate

The Client Service Associate provides exceptional operational and administrative support to Financial Advisors within the Gladstone network. Responsibilities include, but are not limited to, account establishment, account maintenance, account transfers, money movement, client reporting, resolving notifications, and marketing submission.

Primary Responsibilities:

• Coordinate client meetings, assist advisors(s) with meeting preparation and participate in client meetings as necessary
• Communicate with clients in a professional and friendly manner; build and nurture the client relationship
• Provide superior customer service by handling all incoming client requests quickly and correctly
• Prepare any appointment documentation, review, and mailing materials requested by the advisor
• Monitor client account activity, research and resolve issues, and follow-through to ensure client's needs are met
• Prepare and review all new account paperwork to ensure that documents are fully complete, conform to processing guidelines and are accurate
• Provide a functional overview to clients for initial online account access
• Monitor and initiate action on daily custodial alerts and assigned tasks
• Verify accounts are traded into the correct model and provide trade assistance as needed; track incoming rollovers, other investment funding, and transfers to ensure that all applicable accounts moved as expected
• Create, maintain, and track an RMD list utilizing internal and custodian solutions
• Make proactive use of technology to streamline client interactions
• Document key client milestones and/or important data into systems that will assist in future client interactions
• Identify problems in a timely manner while complying with standard resolution policy, the established corporate process, and regulatory procedures
• Must be able to prioritize work related to client assets and determine the next course of action
• Maintain risk awareness and compliance with all corporate and regulatory standards
• Comply with all continuing educational requirements
• Support the firm's initiatives, assist with any company-wide projects or activities, and attend functions as needed

Primary Skills & Requirements:

• Minimum of 3+ years of financial services industry experience; preferably in a broker/dealer or registered investment advisor environment
• Bachelor's degree preferred
• Must be detail-oriented; must possess strong analytical, organizational, and problem-solving skills
• Excellent oral and written communication skills
• Outstanding interpersonal skills with the ability to build and foster relationships
• Able to adapt to changes in the work environment, manage competing demands and work with frequent change, delays or unexpected events
• Must be proficient with Windows-based technology and Microsoft Office
• Critical thinking, attention to detail, and multi-tasking skills required
• Position requires a high level of confidentiality
• Excellent communication and interpersonal skills
• Excellent organizational skills
• Experience with various CRM applications; such as Redtail or MS Dynamics preferred
• Self-directed and able to work within a team environment to complete critical projects with other departments within the firm
• Series 7, 63, 65 or 66 licenses are preferred, but not required