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Client Services Associate

Seattle, WA

Job ID: 56397 Industry: Operations/Administrative


Learn and grow in this role! S

Client Services Associate needed for a small but high volume Investment firm located in downtown Seattle. Great career growth and learning opportunity for an individual who has experience in the financial industry and sees a future for themselves as a Senior Adviser.

The Client Services Associate supports the financial adviser by delivering timely and efficient client services. Daily activities typically include preparing paperwork to establish and service client accounts, preparing detailed reports for client accounts, answering incoming calls, email inquires, and scheduling adviser meetings with clients and third party affiliates. 

Primary Responsibilities 
  • Answer phone call 
  • Respond to email inquires 
  • Prepare new account paperwork for client and adviser signatures
  • Monitor progress of in-process service requests
  • Monitor progress of asset movement and inform advisers when completed
  • Monitor and review balances, holdings & daily activities in client accounts
  • Monitor and review transfers in, new deposits and anticipated funds due and report issues
  • Provides account maintenance (deposit, trade corrections, stop payments, ACH and wire transfer requests to and from client accounts)
  • Correspond with clients, advisers, and investment companies regarding service status
  • Correspond with broker-dealer on client service issues
  • Makes outgoing proactive service calls with clients
  • Provide quotes to clients (if licensed)
  • Process incoming and outgoing mail 
  • Champion ongoing marketing and client care mailing programs
  • Monitor and report/correct errors on quarterly client account billing
  • Monitor and report/correct on adviser commission reports 
  • Monitor and report correct errors on daily and weekly transaction log 
  • Maintain client contact system and provide call rotation guidance to advisers
  • Prepare and oversee production of client/prospect presentation packets for client/prospect meetings
  • Schedule appointments with clients and third parties as directed 

Required Qualifications
  • Demonstrate ability and desire to provide outstanding and proactive service for all clients
  • Bachelor' s Degree
  • One to three years of experience in financial service industry
  • Strong attention to detail 
  • Deadline driven
  • Flawless written and verbal communication skills
  • Excellent listening skills
  • Strong MS Office skills
  • Experience using CRM Software program
  • Ability to work independently 
  • Familiarity with investment concepts and terminology, including investment vehicles, transaction types, and securities clearing systems
  • Occasional flexibility to work over time and high volume work load 

Desired Qualifications:
  • 4 or more years of financial industry experience
  • FINRA Series 7 or Series 6 registration
  • Experience in designing and programming MS Excel worksheets
  • Experience executing trades and verifying securities transaction instructions
  • Project Management experience 

Compensation and Benefits
  • Salary, bonuses dependent on experience and job performance 
  • 75% insurance premium paid 
  • 401 K plan with 3% match 
  • Parking space or monthly bus pass provided 

Gillian Grant

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