Client Associate

Responsibilities

• Account opening and maintenance
• Transferring assets and money movement
• Completing investment subscription documents
• Cash management & RMDs
• Aiding with client online access
• Responding to account activity and statement inquiries
• Managing life events
• Administering administrative work as needed
• Providing top quality service to clients and completing administration of client accounts
• Handling operational aspects of client accounts including reporting on account holdings and investment performance, posting daily cash activity, and entering trade instructions
• Generating expense reports for submission using Concur
• Processing new accounts and account maintenance, by obtaining all necessary approvals and ensuring all client documentation is returned, completed and approved
• Processing all client cashiering requests (money market redemptions, wires, checks, journals, check deposits, etc.)
• Supporting marketing efforts by promoting client seminars and events
• Offering administrative and office management support to the team
• Preparing client correspondence, obtaining necessary management approvals, and transmitting
• Reviewing daily activity and reconciling current client activity, funds transfers and previous day’s activity and trades against various clearing firm systems to ensure accuracy
• Oversight of client insurance and annuities processes
• Aiding in preparation of key documents, PowerPoint presentations and reports for client meetings
• Attending client meetings as necessary and presenting client performance
• Completing necessary filing and maintaining client files
• Attending compliance and continuing education training sessions as required by regulatory agencies and the firm

Qualifications

• 3-5 years prior client service experience within financial industry, or equivalent experience, preferred
• Series 7 & 66 strongly preferred, and if not, willing to obtain BA/BS degree

Skills

• Strong client facing, interpersonal, organizational, and client service skills
• Detail-oriented with ability to prioritize and organize workflow
• Ability to work in a fast-paced, high intensity work environment as well as manage multiple tasks effectively with frequent interruptions
• Strong Microsoft Office skills including Excel & PowerPoint
• Experience with eMoney financial planning software a plus