Financial Advisory - Client Relationship Associate

Kestra • Lincolnton, NC

8d • Onsite

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
• Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra.
• Internal applicants must also have a minimum of 1 year service in current role unless approved by EVP.

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.

Benefits

• Competitive pay and benefits with a large employer (over 1600 employees nationwide)
• 401(k), health insurance, and a competitive benefits package
• Work in a supportive, collaborative environment committed to professional excellence
• Help clients navigate meaningful financial decisions with confidence
• Opportunities for training, development, and long-term growth within the firm
• Tuition reimbursement for qualified expenses

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: No Education Listed
• Number of Employees: 101-250 employees