Position Summary: The Client Service Associate provides operational support to our Wealth Advisors and/or Partners, providing services for 100 to 150 clients. The Client Service Associate is a key member of the service team for each client and serves as the liaison that facilitates the relationship between the client and the custodian.
Primary Responsibilities - Responsible for execution of all daily client transactions and activity. Interface with custodians and other professional interested parties on behalf of clients to complete client transactions and facilitate operational processes, providing information, guidance and instructions as circumstances dictate. These responsibilities include:
- Coordinate the set up and ongoing maintenance of client accounts at the custodians.
- Initiate and follow through with asset transfers.
- Coordinate cashiering needs such as wires, checks, EFTs, etc.
- Compile and complete necessary client and custodian paperwork.
- Troubleshoot and resolve client issues -- escalate internally with team or with custodian as required.
- Prepare annual and semi-annual investment portfolio reviews as well as any monthly or quarterly reports for clients.
- Trade client accounts, if appropriate.
- Communicate directly with clients and other interested parties, in both written and verbal formats, as needed to provide superior client service.
- Record all client contact and activity information into our CRM system.
- Provide other support to the client service teams as needed.
- Backup Client Service Associate team members.
- Backup reception and phones when needed.
- Demonstrate professional, ethical, and courteous conduct in responsibilities and dealings with clients, prospects, COIs, colleagues, and other business entities. This includes compliance with legal, professional, and established firm standards of conduct. Uphold all Cerity Partner values as work is performed.
Required Qualifications: - 2-3 years of experience in the Financial Services industry, preferably with a broker-dealer, a mutual fund company, or a registered investment advisor.
- BS/BA degree from an accredited college or university or equivalent experience required.
Preferred Qualifications: - Series 65 preferred / required within first year of employment.
- Schwab Institutional, Fidelity Investments, Black Diamond, Orion, and/or Salesforce
Skills and Competencies: - Strong MS Office skills required.
- Ability to interact professionally with high-net-worth clients and institutions.
- Flexible in day-to-day work flow. Cooperative team player: willing to put team ahead of self.
- Interpersonal Communications
- Detail-Orientation/Quality Focus
- Business or Job-Specific Knowledge
Physical Requirements: - Prolonged periods sitting at a desk and working on a computer.
- Must be able to lift up to 15 pounds at times.
Compensation Range: $90,000-120,000
Why Cerity Partners: Our people drive our success by working together to deliver exceptional service to our clients. Below is a glimpse of the key elements of our total rewards package:
- Health, dental, and vision insurance - day 1!
- 401(k) savings and investment plan options with 4% match
- Financial assistance for advanced education and professional designations
- Opportunity to give back time to local communities
