We are a growing, ensemble-based wealth management firm committed to delivering a consistent, high-quality client experience across advisors, specialties, and service teams. Our model emphasizes collaboration, shared ownership, and operational excellence for ensuring that clients receive seamless support regardless of which advisor or specialist they engage.
We serve a diverse client base with increasingly complex planning, investment, and service needs. To support this, we invest heavily in strong systems, documented workflows, and experienced professionals. We believe exceptional client outcomes are driven by disciplined operations, proactive communication, and a culture of accountability, respect, and continuous improvement.
This role is designed for someone who thrives in an ensemble environment, values teams over silos, and wants to be a trusted partner to advisors, clients, and colleagues alike.
Role Purpose
Serve as a high-trust Client Service Administrator who delivers white-glove servicing, coordinates workflows across advisors and operations, supports specialized projects, and executes or coordinates trading/reallocations—while enabling efficient multi-advisor meeting coordination in an ensemble environment.
Core Responsibilities
1) Ensemble Scheduling and Meeting Coordination
- Schedule client meetings across multiple advisors and internal specialists (e.g., planning, investments, retirement, benefits) based on client needs—not tied to one advisor’s calendar ownership.
- Coordinate meeting logistics end-to-end: confirmations, attendee alignment, meeting links/rooms, and required pre-work.
- Ensure the right team is in the room: match agenda items to the appropriate internal resources and ensure coverage/backup when needed.
- Maintain consistent meeting workflows (templates, agendas, pre-meeting checklists), without owning advisor calendar upkeep.
2) Client Servicing and Relationship Support
- Act as a primary point of contact for client service requests, delivering proactive communication, clear expectations, and tight follow-through.
- Manage servicing items including (as applicable): distributions, deposits, address/bank changes, beneficiary updates, paperwork, check requests, money movement, and ongoing account maintenance.
- Escalate and route requests appropriately within the ensemble (advisor vs. operations vs. investment team), ensuring ownership does not get lost.
3) Account Opening and Servicing Workflow Ownership
- Manage account opening and maintenance workflows across account types (taxable, IRA/Roth, trust, etc.) in coordination with Operations.
- Submit items in good order with correct documentation, required approvals, and compliant records.
- Track requests from initiation through completion; provide status updates to clients and internal stakeholders.
4) Trading & Reallocations Support (If Licensed/Authorized)
- Execute or coordinate trading, reallocations, and model implementation per firm process, approvals, and documentation standards.
- Liaise with Operations and investment team to resolve trade breaks, restrictions, funding timing, and post-trade follow-through.
5) Specialized Operational Projects and Subject-Matter Ownership
- Own or lead specialized workflows that support scale and consistency in an ensemble:
- Cost basis research, corrections, and updates
- RMD calculations and maintenance of master RMD tracking lists
- SIMPLE IRA annual forms and ongoing maintenance
- Morningstar specialty support (reports/templates/requests)
- Client portal access set-up and troubleshooting
- Coordination with third-party trustees for trust account processes and follow-through
- Support and uplift other admins by documenting procedures, providing guidance, and serving as a resource for complex/HNW requests.
6) Ensemble Service Standards and Quality Control
- Apply consistent service standards across advisors (same checklists, same client experience, same documentation discipline).
- Ensure handoffs between advisors, admins, and Operations are clean and documented so any team member can step in seamlessly.
- Maintain tracking systems and dashboards (service request logs, RMD lists, project lists) to prevent bottlenecks and “dropped balls.”
Preferences / Traits Required for an Ensemble Practice
Ensemble-first Mindset (Non-negotiable)
- Operates as a firm resource, not “assigned to one advisor.”
- Comfortable supporting multiple advisors/teams with competing priorities while maintaining fairness, transparency, and service consistency.
- Strong at handoffs, shared ownership, and making the “next best action” obvious to the team.
Client-Facing Execution
- Polished, calm communicator with proactive updates and excellent follow-through.
- High empathy with firm, professional boundaries.
Operational Rigor + Judgment
- Checklist-driven and detail-obsessed; low error tolerance.
- Strong prioritization and triage skills; escalates early with solutions.
Ownership and Accountability
- Self-directed, takes initiative, drives items to completion, documents thoroughly.
- Process-improvement oriented (simplifies workflows, reduces NIGO, improves cycle times).
Systems and Technical Comfort
- Learns platforms quickly; can troubleshoot, document SOPs, and train others.
- Comfortable with CRM/custodian platforms, Excel, portals, and reporting tools.
Success Metrics (Ensemble-Aligned)
- High client satisfaction due to consistent service and proactive updates.
- Reduced NIGO/rework and faster cycle times across all advisors (not just one book).
- Clean internal handoffs and coverages; requests don’t stall when someone is out.
- Specialized lists (RMD, cost basis, SIMPLE, portal access, trustee items) remain current with minimal exceptions.
Licensing & Regulatory Expectations
- Series 7 license required (active or eligible to transfer).
- Candidate must be authorized to support or execute trading and reallocations in accordance with firm policies, approvals, and documentation standards.
- Experience working within a regulated environment (RIA or broker-dealer) is required, with a strong understanding of compliance, documentation discipline, and audit readiness.
- Additional licenses (Series 63/66, Life & Health) are a plus but not required.
