Client Service & Operations Specialist

Kaizen Financial Strategies, LLC is a leading Registered Investment Advisor (RIA) firm based in Pleasanton, CA. We specialize in offering personalized financial planning, tax planning, and investment advisory services for tech professionals and entrepreneurs in Silicon Valley and beyond. We are dedicated to placing clients first, continuous improvement, and building trust through transparency and integrity.

We are seeking a highly organized and proactive Client Service & Operations Specialist to support the advisors. This role requires excellent administrative and communication skills, as you will be instrumental in ensuring exceptional service to our clients and facilitating smooth operations within our firm.

• Client Services: Schedule regular planning and review meetings with clients and prospects, assist clients with setting up Schwab account access and client portal access as needed, and address any other client service requests with prompt follow-through.
• Client Reports Preparation: Assist in the creation and preparation of client account review reports to ensure pertinent information is presented accurately and professionally.
• Marketing Communications: Support the advisors in creating marketing newsletters, blogs, and social media presence.
• Back-office Operations: Assist with filling out and submitting accounts related forms for clients, follow up with our custodian, Charles Schwab, to ensure account paperwork is in order, and keep clients informed throughout the process.
• Process Improvements: Create ad hoc reports for operational trends and identify and implement opportunities for improvement.
• CRM (Client Relationship Management): Keep the CRM updated with clients, prospects, and operational workflow data.
• Regulatory Compliance: Keep a track of all regulatory requirements and ongoing changes in the RIA industry, primarily driven by SEC, IRS, and DOL. This requires maintaining records, interacting with compliance consultants, and providing data reports in the case of SEC audit.
• Event Organization: Organize and coordinate occasional client appreciation and educational events.

• Bachelor’s degree (Economics, Finance, Accounting, or Business Administration preferred).
• A minimum of 3-5 years of experience in Client Services, Business Operations, Business Communications, or a similar role.
• Strong organizational and time management skills.
• Excellent verbal and written communication skills.
• Ability to thrive in a fast growing and continuously improving operational environment.
• Professional attitude and appearance.
• High level of discretion and confidentiality of client data.
• Ability to multitask and prioritize daily workload.
• Comfortable with paperless office technology and troubleshooting common issues.
• Experience in wealth management sector and working with Charles Schwab as a custody platform a plus.

• Competitive compensation.
• 401K retirement plan (after one year of service) with company matching and profit sharing.
• All public holidays, 10 days of paid time off, and up to 5 days of paid sick leave.
• Flexible working hours to support work-life balance.
• An opportunity to work with a passionate and professional team.
• The chance to contribute to the success of a growing wealth management firm.
• Potential for multiple career growth tracks as the firm grows to the next scale.

If you are interested in this position and meet the qualifications, please submit your resume to info. Once you have submitted your resume, please call  and leave a voicemail of 2 minutes or less articulating why you are the best candidate for this position.