Financial Advisory - Client Relationship Associate

Kestra Holdings•Lincolnton, NC

About The Position

As the Client Relations Associate, you will report to the Director of Operations. You will support the Investment Advisor by delivering exceptional client service, managing account operations, and preparing financial materials. You will be an important member of the team in ensuring client and operational excellence. This role is designed as a development pathway toward becoming a Junior Investment Advisor, offering hands‑on exposure to financial planning, portfolio management, and client relationship strategy. As part of this progression, the employee is required to take the Series 65 license exam within 120 days of employment.

Requirements

Client-first mindset with a passion for delivering exceptional service and building trusted, long-term client relationships
Strong understanding of investment operations and account administration, including onboarding, asset transfers, and service requests
Ability to manage multiple priorities with precision, ensuring accuracy, follow-through, and compliance across all client activities
Experience working with custodians, CRM systems, and portfolio management platforms, or the aptitude to learn systems quickly
Analytical skills to prepare financial materials, assist with financial planning assumptions, and support portfolio construction decisions
Exposure to or strong interest in financial planning, asset allocation, and portfolio management
Detail-oriented approach to documentation, recordkeeping, and regulatory compliance
Clear and professional communication skills, with the confidence to interact with clients and internal partners
Collaborative mindset with the ability to partner closely with Advisors, Operations, and Investment Committee members
Comfort participating in client meetings by preparing materials, contributing insights, and supporting presentations
High level of ownership and accountability—you follow tasks through to completion and proactively resolve issues
Commitment to professional growth, including a willingness and ability to obtain the Series 65 license within 120 days of hire
Desire to grow into a Junior Investment Advisor role, with curiosity, coachability, and a long-term interest in advisory excellence

Responsibilities

Fills out all the necessary forms for new client onboarding
Interfaces with the custodian to open new accounts, updates account information
Completes necessary paperwork to maintain client accounts, complete service requests
Receive and follow up on client information and process requests, outstanding transactions (e.g. transfers) requests such as wire transfers, asset movements, and checks.
Works with Lead Advisors/Managing Directors to discuss, review and finalize financial planning assumptions and design decisions.
Works with clients, under the supervision of Lead Advisors/Managing Directors, to obtain information and prepare risk profiles and investment policy statements.
Coordinates the transfer of client assets to the firm during new client onboarding, working closely with the Operations Group.
Develops asset allocation strategies directed by the Investment Committee and the Lead Advisor/Managing Director working with the client.
Rebalances portfolios as directed by the Investment Committee and the Lead Advisor/Managing Director working with the client.
Execute trades under the supervision of Portfolio Manager
Assemble performance reports through Portfolio Management system
Maintains information in the client relationship management system (CRM) and Portfolio Management system.
Maintain up-to-date client files, including copies of all signed applications and forms, according to firm's Compliance requirements
Shows clients how to access their accounts on custodian site online and firm’s client portal.
Ensures cost basis information is updated in custodian site
Answers basic questions for clients (a license may be required for some)
Fill out necessary forms or coordinates with client regarding alternative investments
Participates in all client meetings and adds value to meetings by delivering presentations, facilitating discussions, and preparing information.