Client Service Associate

Description

Client Onboarding and Account Opening

• Manage the full client onboarding process, including distribution and tracking of intake forms
• Open new accounts for new and existing clients, including brokerage accounts, 529 plans, and annuities
• Verify client information and maintain accurate internal records
• Ensure accounts are properly transferred and funded
• Set up client online access and confirm delivery of required notices

Client Service and Support

• Coordinate ongoing service requests such as beneficiary updates, address changes, and standing instructions
• Track all service items to completion
• Monitor incoming and outgoing asset movements
• Troubleshoot client issues and escalate when appropriate
• Assist clients with portal navigation and login issues
• Maintain smooth communication between clients and the advisory team
• Support advisors with documentation as needed, typically prepared by advisors or a paraplanner
• Process account setups, transfers, distributions, and related paperwork accurately and on time
• Partner closely with advisors to ensure timely follow-ups
• Work with custodians, broker-dealers, and insurance carriers to resolve issues
• Maintain and update client data in CRM and portfolio systems

Office Operations

• Implement and document office procedures and workflow enhancements
• Oversee client billing reconciliation and work directly with the broker-dealer to ensure billing accuracy
• Manage advisor licensing and registration processes
• Serve as the primary point of contact for broker-dealer audits
• Provide backup administrative support as needed

Qualifications of the Client Service Associate

• 3 to 5 years of RIA or broker-dealer operations and client service experience within a financial advisory practice
• Familiarity with financial technology platforms, ideally including Wealthscape, Redtail, eMoney, Wealth.com, Precise FP, and Albridge
• Demonstrated judgment, accuracy, and high ethical standards
• Ability to work independently while collaborating effectively in a small office environment; small office experience a plus
• Strong commitment to confidentiality
• Proficiency in Microsoft Word, Excel, PowerPoint, and Outlook
• Experience with Adobe or similar PDF editing tools
• Bachelors degree preferred, ideally in finance or a related field
• Strong problem-solving mindset with a focus on continuous improvement
• Personable, collaborative professional with intellectual curiosity and a mindset geared toward continuous learning, growth, and process improvement

What the Position Offers

This is an opportunity to join a warm, collaborative, and close-knit team within a growing boutique RIA that is genuinely passionate about the work they do and the clients they serve. The firm values teamwork, trust, and long-term relationships, and offers room for additional responsibility and professional growth as the practice continues to evolve. The position includes a 401(k) with employer match, paid holidays, vacation, medical benefits, profit sharing etc.