About the job
The Senior Registered Client Service Associate focuses on delivering high-quality client service, account maintenance, and administrative support. Responsibilities include processing new account paperwork, maintaining accurate client records, and ensuring compliance with industry regulations. The Operations Associate will manage routine client inquiries, assist with various operational tasks, and ensure a seamless and efficient client experience. This hybrid position requires in-office presence three days a week and involves regular interaction with internal and external contacts to provide and clarify information. Ideal for someone looking to grow within a supportive and dynamic environment, this role offers ample opportunities for professional development and career advancement.
Job Summary
Under general supervision, uses specialized skills gained through training and experience to provide proactive support to financial advisors and clients with quality service. Provide efficient, high quality client service, account maintenance, and administrative support to advisors and team leads. Follows established procedures to perform routine tasks and receives general guidance and direction to perform a variety of non-routine tasks with limited decision-making responsibility. Routine contact with internal and external contacts is required to obtain, clarify, or provide facts and information.
Note: This position requires up to 3 days in office
Responsibilities:
- Helps in streamlining operational tasks and perform due diligence to reduce potential errors.
- Ensures required client paperwork is current with firm and industry requirements, rules, and regulations.
- Helps in opening new accounts paperwork and follow up on client documentation for proper maintenance of accounts.
- Helps managers in monitoring for any potential and ongoing issues, taking actions to clear back logs and escalating when required.
- Ensures CRM system is up to date with accurate information.
- Creates and maintains records and files.
- Interacts daily on the phone with existing clients including handling basic inquiries.
- Onboard and maintain client accounts, including collecting client information and required documentation, and processing money movement transactions.
- Provides technical assistance to clients with online account access.
- Coordinates directly with industry professionals including CPAs, Actuaries, Lawyers, etc. to provide customized client solutions.
- Works closely with operation manger and pension consultant in compliance requirement for ERISA plans such as 401k and Cash Balance Plan.
- Facilitate with Estate Planning Attorney and client meetings regarding establishing wills and trusts.
- Book travel arrangements when necessary
- Receives cross-training and assists with other operational functions as required.
- Performs other duties and responsibilities as assigned.
Qualifications:
- Strong attention to detail, communication, problem-solving, and analytical skills.
- Ability to multi-task under pressure, work independently, and work in a team environment.
- Flexibility to travel if needed and work during the evening if necessary.
- Excellent knowledge of Microsoft Office products.
- Provide a high level of customer service.
- Analyzing to be able to research account information.
- Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
- Handle stressful situations and provide a high level of customer service in a calm and professional manner.
- Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.
- Retirement Plan Administration experience and knowledge of ERISA would be a plus.
Education/Experience
- Bachelor’s degree
- Minimum of Five (5) years financial services industry experience.
- Preferred or willingness to pursue: FINRA Series 7 or 66 (63 and 65) license.
Compensation:
● Competitive Base Salary + bonus. (Range $100,000-$150,000)
● Hybrid role, Minimum 3 days in the Manhattan office (7th Ave and W 34th St.)
● Benefit Eligible: Group health, vision dental plans, 401k retirement with employer contribution, Paid vacation, sick, and holiday hours
● Opportunities for professional growth and development; including continuing education.
● A supportive and inclusive work environment where your contributions are valued.
