Client Service Associate
Primary Focus: The Client Service Associate supports advisor teams and clients through account operations, onboarding, and ongoing maintenance. This role requires foundational technical knowledge, client communication skills, and managing custodial work with guidance from senior team members. The CSA takes ownership of their responsibilities from initiation through completion, escalating complex matters as needed. Reports to Operations Manager.
Core Responsibilities:
Process account onboarding, including preparation of Advisory Agreements and custodial account agreements
Manage custodial inquiries and account maintenance through resolution, including retirement coding reconciliations and general account maintenance
Handle asset movement requests with clients and at the custodial level from initiation to completion, including checks, wires, ACH, and journals
Support retirement account rollovers, reconciliation of transferred assets, and annuity rollovers with guidance
Assist with Separately Managed Account and subdocument processing, including client profile sheets and private investment subscription documents
Coordinate offboarding client notifications and manage returned mail/abandoned property accounts
Provide proactive communication with clients and advisor teams throughout all account-related matters
Assure accuracy and timeliness of all custodian work
Technical Expertise:
Build foundational technical knowledge in operational matters
Learn custodial bulletins and procedures
Understand and comply with all financial regulations
Maintain high diligence in client privacy and security
Develop proficiency in the systems used by the company, such as CRM, custodian websites, and other relevant technological resources
Maintain required logs and supporting documentation for compliance-related purposes
Team Collaboration:
Observe and learn from client meetings within areas of expertise
Receive training and mentorship from Senior Client Service Associates and leadership
Provide support to Advisor Associates, Lead Advisors, and Service Advisors
Support process improvement initiatives and follow established procedures
Assist in maintaining standard templates, policies, procedures, and materials
Embrace and adopt new technology solutions
Contribute positively to office culture, morale, and team collaboration
Escalate issues and requests to appropriate personnel when necessary
Client Service Excellence:
Strong client orientation with focus on creating positive experiences
Professionalism and developing communication skills (verbal and written)
Willingness to learn issue resolution techniques
Interpersonal skills and relationship development abilities
Operational Excellence:
Strong organizational, planning, and prioritization skills
Attention to detail and commitment to delivering quality work
Ability to handle multiple tasks while maintaining accuracy and meeting deadlines
Developing problem-solving and decision-making capabilities
Willingness to build technical proficiency in relevant systems and custodian platforms
Professional Development:
Quick learner with the ability to adapt to new challenges
Open to change and committed to continuous improvement
Technology-oriented, with a focus on incorporating best practices
Proactive in seeking feedback and asking questions
Qualifications and Skills:
Bachelor’s degree in Finance, Economics, or a related field preferred
Relevant experience in financial services or a related industry
Strong computer skills, including proficiency with Microsoft Office Suite
Experience with CRM systems and custodial platforms preferred
Excellent organizational and time management skills
Commitment to professional growth and development