Financial Advisory - Client Service Associate

About the Role

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Lead with Purpose. Partner with Impact. The Client Services & Operations Manager oversees high-level administrative and business operations for the advisory team. This position exercises discretion and independent judgment to resolve complex and operational issues. It maintains advisor and client files, generates client reports, contacts clients to obtain or provide updated information, and troubleshoots. Excellent customer service and problem-solving skills are required to confidently provide information and education to clients in a timely, efficient, and professional manner.

The primary duties include policy implementation, compliance interpretation, and operational strategy.

• Implement and continuously improve client-operations policies and workflows across advisory teams to resolve complex issues
• Create, enforce, and follow processes for document control and retention of checks, paperwork, statements, client notes, etc. with accuracy and readability
• Assist clients with account maintenance and maintain client information on Advisor Complete and CRM systems (Redtail) – utilizing insights to recommend process enhancements
• Support Client Relationship Manager in preparing client appointment folders for advisor meetings – including customized financial summaries and relevant appointment materials
• Generate financial performance reports in advance of client interactions
• Ensure follow-up and completion of tasks generated during advisor client interactions
• Support advisors with trades, client cash management, and account opening, etc. – applying protocol while escalating exceptions
• Collaborate with Client Relationship Manager as needed; ensure adherence to firm’s service model through client interactions
• Respond promptly and professionally to incoming prospect and client inquiries via phone, email, and in-person, acting as a liaison between office and clients
• Provide excellent customer service by anticipating and responding to client inquiries and needs
• Ability to lead project teams and provide guidance to operations staff; no direct reports required but authority to influence operations decisions and vendor commitments
• Assist in managing summer interns and delegating tasks and projects

• Strong understanding of financial services operations and compliance requirements
• Ability to exercise independent judgment, logical problem solving and thinking
• Advanced organizational and analytical skills; ability to implement process improvements
• Excellent communication skills; ability to influence stakeholders and drive change
• Proficiency in Microsoft Office Suite and CRM systems; advanced Excel skills
• Ability to work in a fast-paced environment and change gears often
• Ability to adapt to ever-changing compliance and industry regulations
• Ability to work strategically and collaboratively across departments
• Willingness to increase job/program knowledge through ongoing training

• Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra.
• Internal applicants must also have a minimum of 1 year of service in the current role unless approved by EVP.

• Competitive pay and benefits with a large employer (over 1600 employees nationwide)
• 401(k), health insurance, and a competitive benefits package
• Work in a supportive, collaborative environment committed to professional excellence
• Help clients navigate meaningful financial decisions with confidence
• Opportunities for training, development, and long-term growth within the firm
• Tuition reimbursement for qualified expenses

Our Mission is Powering Financial Independence, enabling the growth and success of investing clients and the advisors who serve them. We do that by living our values:
Serve, Make it Happen, and One team.

• You acknowledge that if hired, Kestra Financial, Inc. may obtain and use background information concerning your credit, character, general reputation, personal characteristics, work habits, performance and experience for evaluation for your potential employment.
• It is the policy of Kestra Financial to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, sex, sexual orientation, gender, identity or expression, age, disability, marital status, citizenship, national origin, genetic information, or any other characteristic protected by law. Kestra Financial prohibits any such discrimination or harassment.