Client Service Associate

Client Service Associate

Reports to:

SVP of Custodial Operations

Status:
Exempt

We are seeking a dedicated and proactive Client Service Associate to join our Client Service Operations Department and our esteemed wealth management team. The ideal candidate will play a vital role in ensuring exceptional client experiences by providing high-quality service and support.

• Core Operational Support
  • Provide back-office investment operations support to advisors and clients through Salesforce tasking and custodian execution, including:
  • New account openings
  • Money movement requests
  • Account transfers (ACATs and non-ACATs)
  • Address changes and account updates
  • Client distributions and RMDs
  • Contributions and deposits
  • General account service requests
• Assist in the onboarding of accounts as part of advisor and client Transitions to ensure a smooth, accurate, and timely onboarding experience.
• Document, track, and complete all assigned tasks with accuracy and attention to detail.
• Ensure all activities adhere to regulatory and firm compliance standards.
• Custodian & Internal Coordination
  • Work closely with custodial partners such as Fidelity, Pershing, Schwab, and Raymond James.
  • Coordinate with internal teams to ensure timely and seamless processing across departments.
  • Research and resolve account-related issues by collaborating with custodians, carriers, and internal stakeholders.
• Brokerage & Direct-Held Support
  • Deliver comprehensive servicing for complex advisory and brokerage (commission-based) relationships.
  • Support the administration and ongoing maintenance of brokerage accounts, ensuring compliance with FINRA and custodian regulations.
  • Assist advisors with brokerage-specific forms, disclosures, and documentation, ensuring accuracy and timely submission.
  • Maintain strong knowledge of direct-held business, including carrier requirements, processes, and documentation.
• Complex Case Management & Escalations
  • Apply critical thinking and problem‑solving skills to resolve complex client inquiries and service issues.
  • Manage client and custodian escalations, providing timely and satisfactory resolutions that enhance the client experience.
  • Oversee complex account openings, ensuring full compliance with regulatory requirements and firm policies.
• Process Improvement & Documentation
  • Help document, update, and maintain departmental processes and procedures.
  • Identify opportunities to improve efficiency and streamline workflows.
  • Demonstrate advanced proficiency in brokerage and investment operations to support ongoing refinement of best practices.

• College degree

• 3+ years recent financial services industry experience required
• Self‑starter and motivated to learn
• Familiar and competent in the Windows suite of programs, along with Adobe Acrobat
• Embraces working on a team
• Strong communication with clients both verbally and written
• Familiarity with Salesforce preferred
• Experience servicing and opening accounts on a custodial platform required
• Industry licensing (not required)
• Skilled in multi‑tasking, follow‑up, and managing priorities effectively
• Strong analytical, problem solving, and organizational skills