Client Service Associate

Edelman Financial Engines, LLC•Santa Clara, CA

13d•$61,000 - $81,000

About The Position

As a member of the Client Services team, the Client Service Associate partners with a Financial Planner to provide a high level of customer service. The role helps build and encourage client relationships while performing related administrative functions. It calls for financial services experience, strong client service and communication skills, and a good understanding of finance. The associate supports client meetings and account administration, monitors account activity, helps ensure account paperwork and investment funding are handled correctly, and records relevant client information for future interactions. The role also contributes to compliance and risk awareness, firm initiatives, and projects that represent the Client Service Associate perspective.

Requirements

Two years of relevant experience in a Registered Investment Advisor or Broker/Dealer setting is preferred.
A good understanding of finance and investment markets/securities.
Critical thinking, attention to detail, and multitasking skills are required.
Ability to adapt to changes in the work environment and handle challenging demands, frequent change, delays, or unexpected events.
Ability to maintain a high level of confidentiality.

Nice To Haves

Bachelor’s degree or equivalent experience is preferred.
Two years of relevant experience in a Registered Investment Advisor or Broker/Dealer setting is preferred.

Responsibilities

Coordinate client meetings, including greeting clients, preparing for appointments, and supporting completion of required paperwork.
Monitor client account activity, researching and resolving issues.
Prepare and review new account paperwork to ensure documents are complete and in good order.
Verify that accounts are traded into the accurate model and assist operations teams as needed.
Monitor incoming rollovers, other investment funding, and transfers to ensure applicable accounts have moved.
Document key client achievements and other relevant data in systems to support future client interactions.
Maintain risk awareness and compliance; identify problems in a timely manner and follow standard resolution policy, corporate processes, and regulatory procedures.
Support firm initiatives, assist with company-wide projects and activities, and attend functions as needed.
Participate in projects, task forces, councils, and product rollouts to ensure the Client Service Associate perspective is represented.