Client Service Associate

About the role

We are looking for a Client Service Associate to play a pivotal role by partnering with the Financial Planner to provide high-level customer service to our clients. Key responsibilities include coordinating client meetings, supervising client account activity, preparing and reviewing new account paperwork, verifying account trades, documenting client achievements, maintaining risk awareness, and supporting firm initiatives.

Responsibilities

• Coordinate client meetings, including greeting clients, appointment preparation, and supporting the completion of required paperwork.
• Supervise client account activity, researching and resolving issues.
• Prepare and review all new account paperwork to ensure documents are complete and in good order.
• Verify accounts are traded into the accurate model and aid operation teams as needed; supervise incoming rollovers, other investment funding, and transfers to ensure that all applicable accounts moved.
• Document key client achievements and other relevant data into systems that will assist in future client interactions.
• Maintain risk awareness and compliance; identify problems in a timely manner while aligning with standard resolution policy, the established corporate process, and regulatory procedures.
• Support the firm’s initiatives, assist with any company-wide projects and activities, and attend functions as needed.
• Participation in projects, task forces, councils, and product rollouts to ensure CSA voice is represented.

Requirements

• Two years of relevant experience (Registered Investment Advisor or Broker/Dealer) is preferred.
• Bachelor’s degree or equivalent experience preferred.
• Good understanding of finance and investment markets/securities.
• Critical thinking, attention to detail, and multi-tasking skills required.
• Able to adapt to changes in the work environment, handle challenging demands and work with frequent change, delays, or unexpected events.
• Position requires a high level of confidentiality.