Associate I Client Relations

Skills

About the Role

You will provide professional client service and respond to inquiries and service requests. You will learn account-activity processes, support client onboarding, cash management, billing, trading, and operational requests, and maintain client documentation and CRM records. You will help prepare performance reports, support advisors and business managers, coordinate administrative tasks, identify matters requiring escalation, and follow all applicable risk controls, policies, and regulations.

Requirements

• Bachelor's degree or equivalent work experience.
• 1 year of experience; financial services industry experience preferred.
• Obtain the SIE Exam, Series 7, and Series 63/65 or 66 within 150 days of employment.
• Client service orientation.
• Ability to organize and prioritize responsibilities while meeting strict deadlines.
• Attention to detail and quality.
• 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 and security industry rules and regulations.
• Experience with Microsoft Office Suite.

Responsibilities

• Learn client account activity processes and procedures with guidance from senior team members.
• Respond to client inquiries and service requests involving onboarding, cash management, account billing, trading, and operations.
• Identify and communicate issues or potential problems requiring escalation.
• Review client account documentation for completeness and updates.
• Maintain CRM records and assist with updating client investment-profile information.
• Develop an understanding of client needs, market conditions, and regulatory requirements.
• Build internal and external relationships that enhance the client experience.
• Review client information and assist with preparing performance reports.
• Attend client and prospect meetings when appropriate.
• Help facilitate new and incremental business through ideas, insight, and relationships.
• Support Business Managers, Investment Associates, and Wealth Advisors.
• Perform administrative tasks, including meeting setup and travel arrangements.
• Follow established risk controls and applicable rules, regulations, policies, and procedures.
• Participate in training and education programs to maintain policy, procedure, and risk awareness.

Benefits

• Discretionary annual bonus and/or commission-based incentives.
• Medical, dental, and vision coverage.
• Employer-paid short-term and long-term disability insurance.
• Employer-paid life insurance.
• 401(k).
• Profit sharing.
• Paid time off.
• Maven family and fertility benefit.
• Parental leave, including adoption, surrogacy, and foster placement.
• Voluntary benefits.