Client Services Administrator

About the role

We are a growing and award-winning financial planning and wealth management firm seeking an experienced (10+ years) Client Service Manager passionate about helping clients stay on top of their financial to-dos and supporting financial planners working with high net worth clients. This opportunity is located in our main office in Orlando, Florida. We are a fully independent, fee-only RIA serving about 800 client families and managing roughly $1.1 billion.

Responsibilities

Client Account Services

• Build good relationships with clients by providing top-notch customer service
• Complete onboarding process for new clients
• Process and oversee all account and asset transfers for clients
• Implement and/or oversee a variety of account changes (e.g., beneficiary changes, address changes, re-titling of accounts)
• Complete processes when a client is deceased, divorcing, or getting married
• Process and track deposits to client accounts
• Manage withdrawals from client accounts
• Complete Required Minimum Distributions for applicable clients
• Work with estate planning attorney to make necessary account changes and obtain executed estate planning documents
• Partner with custodians (Schwab, TD Ameritrade, and Annuity firms) to ensure work meets service quality standards
• Track and notate all client service requests in CRM from initial request to completion
• Verify all requests are completed correctly, timely, and to the satisfaction of the advisor and client
• Process account closures and client terminations
• Maintain accurate client contact database (CRM)
• Perform “above and beyond” client support projects under advisor direction

Advisor Assistance

• Assist with non-client support duties (e.g., preparation of marketing materials like IQC, newsletter, quarterly reports)
• Schedule appointments for Advisor and manage their calendar
• Complete special projects as determined by an Advisor
• Periodically update Advisor’s biography and submit to appropriate organizations
• Maintain and scan articles written by Advisor(s) and track their CE credits if asked
• Coordinate with other Client Services Managers and departments
• Communicate with the Financial Planning Department on account-related matters (e.g., trades, new/closed/re-titled accounts, Advisor View program updates)
• Work with Office Manager for changes to emails, client billing, hard-copy clients, Christmas gift list, billing requests for tax prep invoices, etc.
• Collaborate with other Client Service Managers to deliver services efficiently and consistently, ensuring cross-training and backup coverage
• Ensure processes, procedures, forms, and entry formats in client database systems are standardized

SEC Compliance

• Maintain client core files according to SEC and firm requirements
• Assist Compliance Officer with periodic audits
• Ensure all forms comply with custodian requirements and SEC regulations
• Follow all firm guidelines as stated in Compliance Manual
• Ensure all clients receive ADV Part II, Privacy Policy, and Form CRS upon engagement

Requirements

• 3+ years of experience in a related field
• Friendly and personable with the ability to engage clients
• Excellent verbal and written communication skills
• High attention to detail and accuracy; strong proofreading skills
• Ability to work with minimal supervision and enjoys problem-solving
• Proficient in Outlook, Word, Excel, and customer relationship management (CRM) systems
• Enjoys teamwork, multitasking, and is willing to take direction
• Ability to build loyalty among staff and associates
• Strict adherence to confidentiality policy
• Adaptable, cooperative, and flexible with industry regulation changes
• Previous experience in investments and/or tax planning is helpful

Benefits

• Excellent corporate culture with extremely low employee turnover
• Recognized in Investment News' list of the 75 Best Places to Work for Financial Advisors three times since 2019
• Supported by a seasoned team and professional management
• Competitive compensation package including base salary, excellent benefits, and performance-based yearly bonuses
• No product sales, quotas, or production-based compensation