Client Service Associate-Wealth Management
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About The Position
The Client Service Associate (CSA) plays a crucial role in supporting Wealth Advisors by fostering strong relationships with clients to ensure a Raving Fan experience. This position involves managing and maintaining accurate client accounts at the custodian, processing fund transactions, and assisting clients with online systems. The CSA will handle client inquiries, prepare and review documentation, and provide essential support to the advisory team with various tasks, including document preparation, administration, and scheduling. The role also includes conducting Goal Review and Risk Audit meetings, managing client fund transactions, and fielding incoming calls. In addition to these responsibilities, the Client Service Associate will assist in resolving issues and discrepancies, ensuring compliance with regulatory requirements, and staying updated on industry best practices to enhance operational efficiency. The CSA may have specific tasks associated with different client service levels, including Financial Guidance, Wealth Management, and Private Wealth. The CSA is responsible for onboarding, maintaining, and offboarding clients, accounts, and client relationships through system account updates and addressing client inquiries regarding their account status. This includes processing new client accounts, combining accounts, transferring accounts, and managing client banking information. The CSA will also create, transfer, and update client households in CRM and custodial systems, ensuring accurate records of beneficiaries, address changes, and financial life events. Furthermore, the CSA will identify and resolve client questions and concerns related to online systems access and functionality, providing demonstrations when necessary. A thorough understanding of account types, regulatory compliance, basic trade instructions, and investment knowledge is essential. The CSA will also assist the Client Care Coordinator (CCC) as needed, provide scheduling support, and facilitate communication within the team. The role requires remaining knowledgeable about policies and regulations from regulatory bodies to ensure compliance in all activities. The CSA will work collaboratively with team members to uphold the company's mission, values, and beliefs, delivering client service that exceeds expectations while adhering to company-wide policies and SEC regulations.
