The Position

We are looking for a Client Services Associate (CSA) who would like to be an integral part of our Client Service Team and make a real impact on the clients they serve.

Our mission is to help folks use their time and money to pursue what they value. We do this by working with and for our clients helping them be good stewards of their resources.

If you think that you’d like to be a part of a team that works to make things better both in the office and in the lives of our clients then... go ahead and apply.

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The Client Service Associate assists financial advisors in serving clients, answering questions and delivering a superior client experience. Client Service Associates maintain the highest level of confidentiality and discretion in all business matters to complete appropriate paperwork in a professional and timely manner.

This is a Full-Time –– In-Office only position

Responsibilities & Expectations

Below is a list of responsibilities and expectations, but it is not necessarily exhaustive.

Relationship Management

- Assist Financial Advisors in delivering a Superior Client Experience

- Educate and assist clients on/with account services and capabilities (e.g., how to read statements/confirms, how to use Online Services, paperless options, RMA cards, etc.)

- Collect appropriate documentation to set up new accounts

- Leverage various communication channels to keep in touch with clients (e.g.- send out birthday cards, e-mail research newsletters)

- Process account service requests and ensure appropriate documentation

- Direct incoming phone calls to appropriate team member

- Greet clients and prospects who have in‐office appointments

- Schedule and confirm advisor appointments for clients/prospects

- Process client requests for distributions and deposits

- Update contact record in CRM with client communication, open/closed accounts, distributions, record status

- Process service forms via mail, email, e‐signature or fax

- Prepare checks for remote, local branch deposit or overnight delivery to custodian/sponsor company

- Manage annuity contract delivery, obtain annuity receipt/confirmation letters

- Track outgoing distributions on Asset Summary report

- Track terminated accounts on closed/terminated log

- Update tracking reports, as needed

- Any other duties as asked pertaining to the client experience

Wealth Management

- Input data into Financial Planning tools

- Input trade orders within appropriate system and complete associated paperwork, if registered

- Review daily branch reports and alerts and process accordingly

- Assist with and resolve not-in good order submissions

- Assist in the preparation of client reports and other materials for client meeting.

- Review notes from client appointments and complete action items as directed

Practice Management

- Scan, digitize and organize legacy files to assist advisors as needed

- Organize logistics of team marketing events, develop and maintain team marketing materials

- Maintain contact management systems with up to date key client information

- May assist team with up to date calendar including daily, weekly, and monthly activities

Talent Management

- Proactively develop self to continuously improve knowledge, skills and credentials and communicate development needs to Financial Advisor or CEO/CFO/COO as applicable

- Assist with on-boarding new members to the team

Skills

Should be team-oriented in order to help meet personal and company performance goals. Must interact with clients and team members in a professional and respectful manner.

Qualifications:

- At least 3 years in the customer service field; ideally, holds some client service experience in the financial services industry

- Active Series 7 and 66 license preferred (required for Registered CSA)

- General computer skills (ability to access email and the Internet) are required for this position and proficiencies in Outlook, Word, Excel, Access and Salesforce/Redtail are desired

- Excellent written and verbal communication skills

- Excellent teamwork and time management skills

- High School Diploma or equivalent required; Associate’s or Bachelor’s Degree is recommended

- Interest in Financial Planning & Investment Management

Benefits

- Group Medical Insurance available

- Group Dental/Vision Insurance available

- Group Life Insurance available

- Disability Insurance available

- Flexible Spending Account (FSA), Health Savings Account (HSA)

- 401(k) Plan with company matching available

- Paid Time Off (PTO) and paid holidays

Pay

- Non-registered $45,000-$55,000 annually

- Registered (active series 7 & 66 License) $60,000-$65,000 annually

Background check, including a credit check, will be required.

Job Type: Full-time

Pay: $49,690.00 - $60,000.00 per year

Benefits:

401(k)
401(k) matching
Dental insurance
Health insurance
Life insurance
Paid time off
Paid training
Vision insurance

Schedule:

8 hour shift
Day shift
Monday to Friday
No nights
No weekends

Application Question(s):

What do you like to do on the weekends?
How do you define Stewardship?
Why do you want to work at Heartland Investment Associates Inc.?

Ability to Commute:

Hiawatha, IA 52233 (Required)

Ability to Relocate:

Hiawatha, IA 52233: Relocate before starting work (Required)

Work Location: In person

Heartland Investment Associates, Inc

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Client Service Associate