Job Description

　　We are seeking a proven and seasoned Client Service Associate to provide support and assistance to financial advisors of a wealth management client in NYC. This role is a combination of client service and operations focused on providing excellent service to both the advisors and their clients.

　　Examples of day-to-day responsibilities include:

　　 Facilitate new account set up at the custodial and broker dealer level; follow up on fund transfers from legacy custodian relationship to the firm

　　 Respond to and resolve client requests; complete necessary financial paperwork to execute client recommendations, change beneficiaries, establish trusts, etc.

　　 Ensure accurate completion of prospective and new client paperwork and set up within the firm

　　 Maintain (CRM) database and client files (Filing, copies, data input)

　　 Research and follow up on any issues with the Broker/Dealer, Operations, and vendors.

　　 Review client accounts on a regular basis to ensure completeness and remediate found issues.

　　 Learn Company product suitability guidelines, financial operational processes, and financial sales processes.

　　 Support client service functions for all teams as requested, such as servicing phone calls from advisors and custodians, coordinating projects, prioritizing advisor tasks and requests, account transfers, account updates, cash distributions, and following up on any other client related issues along with various other work assigned by financial advisors.

　　 Help with new broker onboarding and client account openings.

　　As a Client Service Associate you will have the opportunity to work to support the success of our high growth financial advisors and brokers. The position is an in-office, team-based role with a high level of on-going collaboration, interaction, and communication.

　　Skills and Requirements

　　3+ years industry experience as a client service associate

　　 Series 7 and 66, or 7, 65, and 63 licenses with a clean regulatory record

　　 Working knowledge of FINRA and SEC rules and regulations required

　　 Excellent customer service and communication skills

　　 Drive to provide exceptional care to clients and registered representatives.

　　 Comfortable and proficient using custodian and other industry technology such as Microsoft Office, Excel, Word, etc. - 4 year degree in Finance or a related field

　　Experience working with Schwab and/or RBC is a plus.

　　Experience with My Compliance Office a plus

　　Experience working with CRMs is a plus. null

　　We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal employment opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment without regard to race, color, ethnicity, religion,sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military oruniformed service member status, or any other status or characteristic protected by applicable laws, regulations, andordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or the recruiting process, please send a request to [email protected].