Client Services Associate

Client Service Associate

Position Overview

The Client Service Associate provides meticulous coordination of daily account administration to ensure client expectations are consistently exceeded with timely, accurate and compliant account management – which includes maintaining proactive, professional client communication related to all account administration. They provide ongoing daily administrative and operational support to the Wealth Consultant and maintain proactive, professional communication with clients to ensure an excellent client experience. They also maintain a high standard of compliance in all aspects of related business activities and above all, support the Wealth Consultant in achieving their business goals.

Position Description

Ensure consistent delivery of exceptional service on the team to meet or exceed client expectations and service standards.

• Answer all incoming calls in a timely, professional manner managing calls as appropriate, forwarding to others when necessary, and taking messages if required.
• Consistently manage your personal email box in a timely manner
• Respond to and ensure all incoming client calls, e-mails, communications, faxes and inquiries are responded to in a quick, efficient manner.
• Manage all incoming administrative communication as possible and delegate remaining communication to the Financial Advisor as and when required.
• Provide quick, effective responses and resolution to administrative-based client issues ensuring prompt and efficient problem resolution.
• Escalate problems or client issues and bring to the attention of the Financial Advisor as required.
• Review and distribute all incoming internal and external correspondence.
• Review and distribute all outbound correspondence (word processing and mail merges).
• Manage all administrative requirements related to the day-to-day operations of the team including, but not limited to:Account Opening and follow up,

Account and Asset Transfer initiation and follow up,
Systematic Investment Plans (Auto Invest),
Systematic Withdrawal Plans (Auto Withdrawal),
Daily activity reports,
Daily commission reports, and
Other routine administrative functions.

• Schedule and prepare the Financial Advisor for all client meetings and reviews.
• Track and request office supplies as and when required.
• Ensure proper operation and maintenance of team owned equipment.
• Ensure the resolution of technical problems with team owned equipment, calling vendor or technical support staff as required.
• Coordinate and manage Account Openings with regular follow up and timely, professional client notification:Non-Registered Accounts/Non-Qualified Accounts

Registered Accounts/Qualified Accounts

• Coordinate all aspects of Account Transfers including back office follow up and weekly communication to clients on the status of their transfer
• Coordinate initial set up and implementation for, and accurate execution of all Systematic Account Programs:Pre-Authorized Chequing (Auto Deposit)

Systematic Investment Plan (Auto Invest)
Systematic Withdrawal Plan (Auto Withdrawal)

• Respond to, initiate and follow up all Cheque and Wire requests and notify clients promptly & professionally
• Responsible to handle Account Administrative Communication as efficiently possible (client calls, e-mails, forms & letters by mail or fax, and other inquiries)
• Proactively communicate with clients on all matters related to account administration – the “we call them, before they call us” philosophy AND same with the Financial Advisor regarding account issues
• Assist Financial Advisor to coordinate action required for Minimum Distributions
• Assist Financial Advisor to coordinate action required for Conversions and Acquisitions
• Work collaboratively with FIRM back office to ensure requests are handled quickly
• Monitor your individual activities to ensure adherence to policies and procedures, completeness and accuracy
• Responsible for ensuring Client Profile Updates are done in a timely, friendly and professional manner
• Regularly report to and communicate with the Financial Advisor and team regarding client service and account management
• Provide quick, effective responses and resolution to all Account Administration Queries and issues ensuring prompt and efficient problem resolution
• Escalate account administration problems/client issues if required

Maintain a high standard of compliance in all aspects of the business.

• Implement trades under the direct instruction of the Financial Advisor as and when authorized.
• Review daily trade summary to ensure accurate trade implementation.
• Ensure all supporting documentation for new accounts and other industry documentation is correct and complete.
• Follow the Code of Conduct.
• Ensure all correspondence is completed accurately and stored in accordance with team standards, as well as corporate and industry standards
• Maintain comprehensive communication records using a contact management system including email capture, notes, call history, tasks, FORM Profiles, etc.
• Monitor your individual activities to ensure adherence to policies and procedures, completeness and accuracy.
• Consistently manage your personal email box in a timely manner and keep up to date with cyber security policies
• Manage and maintain accurate records within Procedure Manuals, Employee Handbook, Weekly Meeting Agenda Log, Business Plan and other team documents

Help the entire team achieve specific BUSINESS GOALS and OVERALL SUCCESS.

• Attend and participate in the Weekly Team Meeting
• Participate in the Quarterly Strategic Team Meetings
• Participate in the Annual Business Planning Sessions (Team Retreat & Year End Meeting)
• Provide various business reporting as and when required by the Wealth Consultant for review and/or discussion
• Meet with the Wealth Consultant to understand business goals and the various strategies in place to achieve them
• Have a Weekly Plan for yourself as it relates to your role and related deliverables
• Take pride in your personal workspace keeping it organized and professional
• Take initiative to with respect to common areas making sure you tidy up after yourself and even after others at times – for the greater good
• Be mindful of keeping the kitchen organized and clean by removing your items from the fridge regularly, putting your dishes away, running the dishwasher when required, starting a new pot of coffee if it is needed – ensuring this space is ready to use in a comfortable way for all
• Support ongoing change initiatives and new business practices in the business
• Establish and maintain effective partnerships with the colleagues and business liaisons outside of the branch team (i.e. Accountants, Lawyers, etc.) as it relates directly to client service
• Be willing to learn new things to build confidence and maintain enthusiasm for your role
• Be open to other tasks as required
• Provide back up when other operations team members are away for their lunch break, vacation, or out of the office sick
• Assist other team members when needed to balance out capacity even when it means you are doing something outside of your typical job description
• Work collaboratively with everyone on the team to ensure a positive work environment and exceptional client experience

Responsibilities:

• Administrative Support: Schedule appointments, prepare documents/reports, and maintain files/databases
• Customer Service: Answer or direct incoming telephone/email inquiries and requests
• Account Maintenance: Prepare, deliver, and submit paperwork for processing
• Technology Support: Assist clients with online access and provide team members with technical support

Position Requirements

Qualifications:

• Highschool Diploma required
• Proficiency in Microsoft Excel, Word, and Outlook

General Requirements:

• Enthusiastic, motivated, committed and a team player
• Reliable and professional
• Personable and able to form good rapport with others
• Good oral and written communication skills
• Highly organized, good at multi-tasking and able to prioritize activities
• Process oriented with attention to detail
• Enjoys routine and administrative work responsibilities
• Able to work well in a dynamic, fast-paced and team-oriented environment.
• Interpersonal skills to develop and maintain good relationships with the Wealth Consultant, clients and colleagues
• Good problem-solving skills sufficient to identify a problem, generate solutions and decide on a course of action at an administrative level
• Accept feedback and constructive criticism well
• Desire for future licensing opportunities

Job Type: Full-time

Pay: $13.00 - $20.00 per hour

Expected hours: 40 per week

Benefits:

• Employee discount
• Paid training
• Professional development assistance

Schedule:

• Monday to Friday

Education:

• High school or equivalent (Required)

Shift availability:

• Day Shift (Required)

Ability to Commute:

• Corpus Christi, TX 78401 (Required)

Work Location: In person

Salary : $13 - $20