Client Specialist I

SIMON•Columbia, MO

1d•Onsite

About The Position

The Client Specialist supports two or more Financial Advisors and works to develop a partnership with their respective advisors to provide high quality customer service and achieve stated revenue and asset goals.

Requirements

Solid knowledge of account types and regulations
Knowledge of banking and investment products required
Ability to read and interpret documents such as procedure manuals, general business correspondence, journals, or government regulations
In-person customer service and phone etiquette
Effective time management skills with the ability to prioritize tasks
Excellent written and verbal communication skills
Attention to detail
HS Diploma/GED
2 years’ experience in financial industry preferred
Microsoft Office, including Teams, Outlook, Excel, Word
Adobe Acrobat
Ability to professionally navigate sensitive or urgent client situations
Must display professional conduct and appearance
Maintain client privacy and keep highly sensitive data confidential

Nice To Haves

License not required, but encouraged to attain within first year of employment

Responsibilities

Client meeting preparation for Financial Advisors
Client meeting follow up/document processing for Financial Advisors
Review all paperwork for accuracy, completeness, and compliance
Resolves paperwork and account issues with back-office operations and clearing firm
Client service duties such as establishing new accounts, servicing existing accounts, and researching and resolving deficiencies in a timely manner
Answer incoming calls
Schedule appointments
Preparing, editing and obtaining appropriate compliance approval on correspondence
Responsible for adhering to policies and procedures related to regulatory compliance requirements and firm requirements
Deposit checks and securities in accordance with broker-dealer guidelines
Process Annuity and 1035 exchange paperwork
Maintain and update CRM as needed