Client Services Associate/Trader

Mission

The Client Service Associate at Hilltop Wealth Advisors is an integral part of our team serving as the true connection between our clients and the entire team. This great communicator, influencer, and enthusiastic person will support the vision, positive culture, and team spirit across our firm and clients.

Essential Responsibilities

• Provide administrative support as needed: answers calls, manages contacts, manages schedules, produces reports, and creates presentation materials.
• Maintain and retain office files consistent with firm/professional policies and requirements.
• Support marketing and client events as requested including newsletters, blogs, social, website, communications, office events, etc.
• Execute on the firm's day-to-day trading activities under the supervision of the Director of Operations.
• Monitor portfolios, rebalance accounts, ensure fair execution and trade review for compliance.
• Sends paperwork to clients using the electronic signature system while adhering to the custodian's compliance rules pertaining to electronic signatures.
• Quality check and submit custodial items for processing. Supports Compliance to maintain an effective and robust investment advisory compliance program.
• Conducts certain compliance program tests.
• Performs other compliance-related tasks and projects as assigned.

Advisory

• Engage and support weekly prep for client meetings, ensuring Advisory and Client Services teams are ready and prepped for upcoming client meetings.
• Support client onboarding requirements for financial planning and investment management applications.
• Prepare and produce back-office support demands for basic client account requests.
• Support back-office initiatives and/or core projects that support Advisory teams.
• Gather and prepare necessary information for advisory meetings with clients.

Position Specifications

• Experience and Education:
• Bachelor’s degree.
• Pursuit of Financial Paraplanner Qualified Professional (FPQP) Certification preferred.
• 0-4 years of experience in a financial services firm with an emphasis in either client services and/or operations.
• Leadership experience demonstrated through reporting structure or special projects.
• Experience with investments and financial planning applications preferred.
• Experience working with various custodial platforms preferred.
• Skills and Knowledge:
• Excellent communication skills (verbal, written, and listening).
• General tech stack proficiency.
• Knowledge of RIA operations, regulations, compliance, and oversight.
• Demonstrates personal integrity, honesty, and can deal with confidential information daily.
• Ability to handle stress in an ever-changing investment market.
• Excellent time management and strong organizational skills.
• Ability to prioritize multiple tasks and anticipate potential problems.

Job Type

Full-time, salaried non-exempt

Location

Based in Chapel Hill, North Carolina. This position is primarily in-office, with some flexibility for work-from-home days.

Salary

Base: $50k-65k+ up to $10k in bonuses.