Client Services Associate/Trader

• Provide administrative support as needed: answers calls, manages contacts, manages schedules, produce reports, and creates presentation materials.
• Maintain and retain office files consistent with firm/professional policies and requirements.
• Support marketing and client events as requested including newsletters, blogs, social, website, communications, office events, etc.
• Conduct other administrative related tasks and projects as needed.
• Execute on the firms day-to-day trading activities under the supervision of the Director of Operations.
• Monitor portfolios, rebalance accounts, ensure fair execution and trade review for compliance.
• Sends paperwork to clients using the electronic signature system while adhering to the custodians’ compliance rules pertaining to electronic signatures.
• Quality check and submit custodial items for processing. Supports Compliance to maintain an effective and robust investment advisory compliance program.
• Conducts certain compliance program tests.
• Performs other compliance related tasks and projects as assigned.

• Engage and support weekly prep for client meetings, ensuring Advisory and Client Services teams are ready and prepped for upcoming client meetings.
• Support client onboarding requirements for financial planning and investment management applications.
• Prepare and produce back-office support demands for basic client account requests.
• Support back-office initiatives and/or core projects that support Advisory teams.
• Gather and prepare necessary information for advisory meetings with clients.

• Bachelor’s degree.
• Pursuit of Financial Paraplanner Qualified Professional (FPQP) Certification preferred.
• 0-4 years of experience in a financial services firm with an emphasis in either client services and/or operations.
• Leadership experience demonstrated through reporting structure or special projects.
• Experience with investments and financial planning applications preferred.
• Experience working with various custodial platforms preferred.

• Excellent communication skills. (verbal, written and listening)
• General tech stack proficiency.
• Knowledge of RIA operations, regulations, compliance, and oversight.
• Demonstrates personal integrity, honesty and can deal with confidential information daily.
• Ability to handle stress in an ever-changing investment market.
• Excellent time management and strong organizational skills.
• Ability to prioritize multiple tasks and anticipate potential problems.

Job Type: Full-time, salaried non-exempt 
Location: Based in Chapel Hill, North Carolina. This position is primarily in-office, with some flexibility for work-from-home days. 
Salary: Base: $50k-65k+ up to $10k in bonuses. 

Please submit your cover letter and resume detailing your demonstrated success in this type of role when applying. Kindly describe how our core values align with your own. Our firm provides a competitive salary, a team-based revenue bonus plan, structured career tracks—including a defined path toward equity partnership—comprehensive medical, dental, vision, and life insurance benefits, 401(k) with matching contribution, generous paid time off, volunteer time off, a flexible work-from-home policy (up to five days per month, with Monday and Thursday designated for in-office collaboration), and ongoing educational reimbursement opportunities.