Benefits:

401(k)

401(k) matching

Health insurance

Paid time off

Profit sharing

Senior Client Service Associate – You will have a pivotal role in maintaining and enhancing client relationships for a Registered Investment Advisory (RIA) firm. You will assist in leading a team of client service associates, ensuring the delivery of exceptional service and support to our clients. Location: Costa Mesa, CA. Minimum of 3-5 years experience with Registered Investment Advisor required.

Senior Client Service Associate Responsibilities

Lead the support team with daily client service activities.

Handle client input within financial planning software and become proficient with various technology platforms, both for clients and internally.

Have client interactions, both over the phone and in person, and you'll collaborate closely with the Head of Operations and lead advisors on a day-to-day basis.

New Client onboarding and New Account opening, manage/monitor the new account workflows. Assist clients with employer sponsored retirement account rollover requests.

Prepare necessary paperwork or prepare Charles Schwab Digital and DocuSign onboarding workflow when appropriate.

Meet weekly to review workflow status with the rest of the team.

Monitor Schwab alerts and notify responsible parties of action needed/ take appropriate action to resolve issues.

Cashiering - inbound and outbound movement requests; Checks, wire transfers, journals, ACH.

CRM – Salesforce Financial Services Cloud

Assist with ongoing Action Plan creation and maintenance.

Manage daily tasks.

Create monthly Opportunity Reports.

Portfolio Management Software – Tamarac

Maintain client data (billing, addresses, client portal).

Assist in Quarterly Reporting requirements.

Compliance Data Maintenance

ACA ComplianceAlpha – Compliance Management Software

Prepare updates and calendared Compliance tasks for CCO review.

Monthly, Quarterly and Annual reporting.

Prepare SEC regulatory updates.

Key Requirements:

Education & Experience:

Bachelor’s degree preferred.

4+ years of experience with a Wealth Management firm.

Personality Traits:

We want someone who is looking for the next chapter of their career.

Professional – needs to know how to conduct themselves with clients, both via email and over the phone.

Humble – eager to learn, open to constructive criticism.

Proactive – we want someone who will take ownership of their responsibilities and will actively help to improve client service and processes.

Great communication skills – verbal and written.

Likes learning new things and new technology – someone who adapts well to new technology.

Someone who enjoys helping clients.