Associate I, Client Relations

Responsibilities include but may not be limited to: 

• Gain an understanding of the processes and procedures required for client account activity. Receive guidance from senior members on the team.    

• Review and respond to client inquiries/service requests in a timely manner with a focus on client onboarding, cash management, account billing, trading (where required) and operational requests. 

• Learn how to identify and communicate issues/potential problems that may require escalation. 

• Review client account documentation to ensure all required account documentation is acquired and updated. 

• Regularly update Client Relationship Management (CRM) system. Assist with the facilitation of maintenance/updating of clients’ investment profile information. 

• Develop an understanding of clients’ needs and preferences, as well as an understanding of current market conditions and regulatory requirements. Be responsive to changes in the business and compliance environment when communicating with clients. 

• Learn how to develop and maintain internal and external relationships focused on enhancing the client experience. Leverage internal resources to ensure the integrated delivery of client solutions. 

• Review client information and assist in the preparation of performance reports. 

• May attend client and prospect meetings as an integral member of the Advisor support team when deemed appropriate. 

• Proactively leverage ideas, insight, and relationships to help facilitate new and incremental business. 

• Provide support to Business Managers, Investment Associates, and Wealth Advisors. Participate in additional projects as requested by Advisors and/or management. 

• Facilitate general administrative tasks, if requested by Wealth Advisor(s), including but not limited to meeting set-up and travel arrangements. 

• Ensure work activities follow established risk controls and are in compliance with applicable rules, regulations, policies and procedures. 

• Actively engage in available training and education programs to maintain current status on policies, procedures and risk awareness. 

• Additional responsibilities as requested. 

Bachelor's Degree or equivalent work experience required. 

1 year of experience required, with financial services industry experience preferred. 

SIE Exam, Series 7, and Series 63/65 (or 66) must be acquired within 150 days of employment. 

Client service orientation. 

Ability to organize and prioritize responsibilities and meet strict deadlines. 

Attention to detail and quality. 

Good written and verbal communication skills. 

Ability to work independently and cooperatively in a team environment. 

Ability to collaborate and build trusted relationships. 

Knowledge of applicable compliance/security industry rules and regulations. 

Experience with MS Office Suite.