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The Client Service Associate is critical to appropriately leveraging Advisors’ time, and supports Advisor

team including handling all administrative functions for Financial Advisors and the firm. This position

utilizes excellent customer service and problem solving skills to confidently provide information and

education to clients in a timely, efficient, and professional manner.

Requirements

Essential Duties and Responsibilities

• Regular client interaction including appointment scheduling and correspondence; answer all incoming

calls and direct/take messages appropriately and according to firm guidelines

• Assist in client meeting preparation and follow-up including assembling requisite paperwork, report

generation, appointment scheduling and post-meeting documentation

• Manage client needs regarding processing, service, and problem resolution in a timely and accurate

manner while ensuring documentation and record keeping adheres to compliance standards

• Successfully partner with Broker Dealer for new account establishment, account maintenance, and

compliance

• Process, submit, and service all account paperwork/requests; follow through to completion utilizing

paperless procedures (including eSignature) and workflows where available

• Deposit checks received and maintain check blotter in adherence to compliance guidelines

• Maintain client information in CRM database with discretion; define and ensure adherence to

appropriate client service models

• Manage and update mailing lists for birthdays, holidays, and firm marketing efforts

• Order supplies for office and act as point of contact for any infrastructure requests

• Maintain office appearance and cleanliness, including break room

• Assist in preparation of reporting on a monthly/quarterly basis

• Manage multiple and competing priorities on a daily basis in pursuit of business objectives

• Other responsibilities as assigned by Advisors

Education and/or Experience

• Bachelor’s degree in a business-related field a plus

• The ideal candidate will have 2+ years of experience in the financial services industry allowing for a

good understanding of broker/dealer operations and financial services products, including but not

limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts

• Previous experience in the independent financial services culture preferred

Knowledge, Skills, and/or Abilities

• Proficient computer skills (Outlook, Word, Excel and Power Point) are essential

• Excellent communication skills, both verbally and in writing

• Strong time management and organizational skills; able to work independently and effectively manage

multiple tasks at once

• Ability to build relationships with clients and partners in a friendly, welcoming demeanor

• Superior attention to detail

• Self-learner/problem-solver

Job Type: Part-time [25-30 hours per week] with Full-time potential

Pay: $18 per hour with potential for more