Senior Client Associate

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The Senior Client Associate is a support position for the office. Responsibilities include data gathering and analysis, development of financial planning recommendations, implementation and portfolio management. Associates may also participate in developing investment and financial planning strategies as part of the firm’s Investment Committee and Financial Planning Committee. The Senior Client Associate will deliver high-quality service and operational support to retirement plan and wealth management clients by managing day-to-day inquiries, coordinating account operations, and ensuring accurate and timely execution of all client service activities.

This role supports advisors in providing an exceptional client experience and helps maintain the firm’s operational efficiency and compliance standards.

• Leads the preparation of client investment reviews and financial plans, enabling advisors to maintain a high-touch service model while expanding capacity.
• Oversees daily model trading and rebalancing for all managed portfolios, ensuring accuracy and compliance across mutual fund, ETF, UMA, and Pontera platforms.
• Manages Addepar and Tamarac systems (performance reporting, client portals, billing) to maintain data integrity.
• Cultivate and enhance new and existing client relationships through active communication with clients, processing client requests, resolving inquiries, providing guidance and making sure key information and documentation remains current.
• Process account onboarding tasks: client intake forms, custodial applications, money movements, transfers (ACATs), and account maintenance changes.
• Assist with trading and rebalancing workflows by preparing trade files, confirming allocations, and monitoring settlement activity (as permitted by firm policy).
• Produce portfolio reports, RMD reminders, tax document packets, and quarterly statements.
• Coordinate with custodians to resolve account issues, update beneficiary designations, and support tax reporting needs.
• Serves as a key client contact for investment-related inquiries, ensuring responsive service and client satisfaction.
• Owns account setup, trading, rebalancing for all Pontera accounts.
• Assist in preparing due diligence materials for Product Review Committee.

• Works with home office affiliates in preparing all investment and plan reviews for plan advisors.
• Acts as the primary liaison between clients and recordkeepers, coordinating investment changes, data integrity, and issue resolution.
• Client service, including preparing for client meetings, planning updates, portfolio changes and reviews, information data gathering, portfolio returns, and implementation of recommendations.
• Serve as the first point of contact for client inquiries by phone and email; triage questions related to retirement plans, investment accounts, and general service needs.
• Prepare meeting materials, performance reports, fee disclosures, and follow-up summaries for both retirement plan sponsors and wealth management clients.
• Support advisors during client meetings by organizing documentation and managing pre- and post-meeting workflows.
• Maintain a high level of professionalism and service quality consistent with industry regulatory expectations.

• Experience with Tamarac, Addepar and Schwab Advisor Center.
• Series 65 or equivalent.
• Ability to multi-task and manage time effectively.
• A team player, with strong leadership skills.
• Proficiency in Microsoft Word, Excel, PowerPoint, and Outlook.
• Excellent written and oral communication skills and listening skills.
• Desire/ability to work successfully in a small company environment.
• Detail-oriented focus and a professional demeanor.

• 401(k) with Employer Match
• Health Insurance (with HSA option)
• Dental Insurance
• Vision Insurance
• Life Insurance
• Flexible Paid Time Off Policy
• Flexible Spending Account (FSA)
• Healthy Work/Life Balance
• Maternity/Paternity Leave Policy.

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