Client Associate

The Client Associate will deliver comprehensive operational support and serve as a trusted resource for clients and an experienced Wealth Advisor Team. The Client Associate enhances the client experience by assisting with the service, maintenance, and growth of the team’s high-net-worth client base. We are seeking a seasoned professional with exceptional communication and interpersonal skills who possesses a deep understanding of operational processes and workflows. This role offers an opportunity to significantly contribute to the team’s success and client satisfaction.

Primary Responsibilities:

Client Service: Provide ongoing operational support for the team’s client base by managing daily transactions and inquiries accurately and within established deadlines, ensuring compliance with firm policies and federal regulations

Liaison: Serve as a liaison between Wealth Advisors, Portfolio Managers, Operations, and clients

Client Support: Offer daily support for the team’s client base, including opening client accounts, assisting with required documentation, and performing comprehensive account maintenance tasks

Account Maintenance: Perform tasks such as funds disbursements, name/address changes, charitable gifting, ACATS and DTC transfers, cost updates, billing/fees, and client-directed trade orders

Client Interaction: Maintain regular and proactive contact with clients regarding new account documents, LOAs, account updates, checks and wires, account performance, trade activity, transfers, statement inquiries, research, fees, objective changes, portfolio market values, stock quotes, online access, etc.

Account Monitoring: Oversee account activities including trades, cash flows, debits, margin, tech shorts, performance, transfers, allocations, fees, etc., using various in-house portfolio systems

Client Reporting: Provide customized reporting and analysis to clients or the Wealth Advisor team on a regular or ad hoc basis

Data Management: Maintain accurate and detailed client files, account information, and new business pipeline in the Salesforce database

Professional Development: Enhance job knowledge by participating in educational opportunities, reading professional publications, maintaining personal networks, and participating in professional organizations

Experience & Skills Qualifications:

2+ years of proven client service/support or related experience in the financial services industry

An undergraduate degree and Series 7 and 66 licenses (required within the first 180 days)

Additional certifications such as MBA, CFA, CFP, or CIMA are beneficial but not required

Proficiency with Microsoft Office and prior CRM experience preferred, particularly with Salesforce

Broad knowledge of Wealth Management, financial products, and services

Exceptional written and verbal communication skills, with strong interpersonal and client servicing abilities

Ability to organize, prioritize, manage multiple tasks, and keep the team informed on open items

Detail-oriented, well-organized, and capable of managing multiple tasks simultaneously

Ability to adapt to a rapidly changing and fast-paced business environment

Capable of operating effectively and working under pressure with tight deadlines

A proactive attitude and ability to work collaboratively