Job Description:
The Client Service Associate – Registered provides primary support to the Wealth Management Groupand must possess excellent organizational skills and interpersonal capabilities to effectively interactwith employees, clients, and vendors. The position will provide support to Financial Advisors, beresponsible for all administrative duties, and assist in all areas of client operations including openingnew accounts and account maintenance. The Client Service Associate – Registered must be detailoriented and have the flexibility and ability to prioritize various projects and take initiative on tasks.
Position Responsibilities and Essential Functions:
Provides a consistently positive client experience through excellent service and execution inmaintaining client accounts, responding with urgency and diligence to meet or exceedexpectations.
Displays exemplary client service skills and mindset operating with a high degree of accuracy, attention to detail, organizational skills, and follow-through.
Exercises discretion and independent judgment when necessary and in relation to clientrelationship management.
Displays deep industry knowledge in assisting clients, genuinely invested in helping clientsand colleagues succeed.
Upholds CSP’s ethical and fiduciary standards by maintaining strict adherence to compliancepolicies, procedures, and standards, and by identifying and escalating potential concerns.
Maintains client files & profiles in the contact management system.
Executes trades and independently recommends strategies to raise cash based on account specificanalysis and client needs.
Independently performs trade reconciliation on the custodian platform, identifying andresolving discrepancies prior to escalation.
Discusses investment options directly with clients, applying industry knowledge to addressquestions and support informed decision-making.
Completes tax loss harvesting trades under the direction of the Financial Advisor, applyingattention to detail and platform proficiency to ensure accurate execution.
Independently evaluates account documentation, transaction requests, and clientinstructions to identify discrepancies, compliance concerns, or exceptions requiringresolution before escalation.
Exercises discretion in prioritizing and managing time-sensitive tasks related to clientaccounts/relationships without daily oversight.
Serves as a primary point of judgment for resolving custodial and transfer discrepancies thatdirectly affect client account accuracy and firm compliance obligations.
Continuously builds proficiency in custodial, portfolio management, and CRM software andplatforms, staying current as tools and best practices evolve.
Responsible for final review and sign-off on custodian specific paperwork prior to advisor orclient delivery.
Collaborates closely with the Financial Advisor to prepare correspondence, clientproposals, presentations, spreadsheets, contribution ideas and perspective to strengthenclient deliverables.
Authorized to communicate directly with custodians and clearing firms on client matterswithout prior advisor approval on routine matters.
Makes recommendations regarding the formulation of policies and procedures foropening accounts, maintenance of client files, monthly preparation of information forclient billing and other operational functions performed on a regular basis.
Performs various administrative functions for the office, including but not limited toanswering and directing phone calls, managing incoming and outgoing mail & packages, ordering supplies, & maintaining office equipment.
Supports Financial Advisors, Operations Supervision Managers, or Regional Manager withclient or office events & initiatives.
Travel as needed for company training to include attending CSA specific events.
Maintains regular and reliable attendance.
Professional ExperienceSIE and Series 7 licensed.
Series 66 preferred.
Prior experience in a similar role within the financial services industry.
Bachelor’s degree or Associate’s degree required.
Experience with custodial and client relationship management systems preferred.
Knowledge of eMoney software preferred.
The final salary offered for this role will fall within the range set below based on a variety of factors, including but not limited to, geographic location, experience, skills, and competencies.
Base Compensation: $60,000 - $65,000 Annually
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status. Cary Street Partners participates in e-Verify and will submit your I-9 documentation to the federal government to confirm your legal eligibility to work in the United States.
