Client Account Service Associate Senior -Registered
About the role
Support Wealth Advisor(s) with sales prospect pipelines, service, and operational activities. Follow up on pending business and meet with clients as needed. Manage overall client relationships and provide service via telephone, direct interaction, and written correspondence. Handle and execute client requests for account-related information, quotes, distributions, and more.
Facilitate client/broker transfers and distributions, ensuring sufficient cash for outgoing distributions or determining if trades are needed to fund them. Make recommendations to clients on various accounts. Schedule and prepare for appointments with new or prospective clients, establish and service client accounts, prepare forms, and research account inquiries or issues.
Manage tracking referrals, establish and maintain files to meet regulatory requirements, and ensure accurate record-keeping.
Responsibilities
- Support Wealth Advisor(s) with sales prospect pipelines and operational activities
- Follow up on pending business and meet with clients as required
- Manage client relationships and provide service via phone, in-person, or written correspondence
- Handle and execute client requests for account information, quotes, and distributions
- Facilitate transfers and distributions between clients and brokers
- Recommend account strategies to clients
- Schedule and prepare for client appointments
- Establish and service client accounts, prepare forms, and research inquiries or issues
- Track referrals and maintain regulatory-compliant files and records
Requirements
- Bachelor’s degree
- 6+ years of experience in Client Services, Wealth Management, or developing strong client relationships
- Series 7 & 66 (63/65) licenses required
- Life and health insurance licenses required
- Willingness to obtain additional insurance licenses
- Advanced knowledge of wealth management operations, processes, laws, and regulations
- Advanced knowledge of executing trades, investment products, estate planning, and tax-related loss harvesting
- Advanced sales and closing process skills, including PC and presentation proficiency
Skills
- Excellent verbal and written communication for client relationship-building
- Ability to analyze and present complex financial modeling
- Experience working with high-net-worth clients
- Critical thinking and problem resolution
- Strong research and customer service skills
- High attention to detail and accuracy
- Ability to multi-task and meet deadlines
- Leadership and training abilities for lower-level staff