Advisor Relationship Specialist

Position Overview

The Advisor Relationship Specialist will play a vital role in ensuring that advisors are supported with the tools, systems, and resources they need to maintain and grow their client relationships. The position is integral to the overall success of our advisory team, as they will be responsible for maintaining essential systems, ensuring smooth communication between departments, and providing timely support to both clients and advisors.

Key Responsibilities

1. Client and Advisor-Facing Communications

o Serve as a primary point of contact for advisors and clients, ensuring all requests, inquiries, and communications are handled promptly and professionally.

o Provide updates to clients and advisors on the status of requests or any actions being taken, ensuring transparency and a high level of service.

o Act as a liaison between advisors and other departments (e.g., operations, compliance, technology, trading) to ensure all client questions or issues are addressed.

• CRM Maintenance:
  • Regularly update and maintain client records in the CRM system (e.g., Practifi) ensuring all client information is accurate and up-to-date.
  • Track interactions, manage contact details, and log important notes regarding client preferences or needs.
  • Submit tasks to appropriate departments such as client service, trading, billing, etc. and action items on behalf of the advisor, ensuring follow-ups, and client-related activities are scheduled and tracked effectively.
• Compliance and Documentation
  • Submit weekly compliance memo to ensure accurate documentation of activities
  • Maintain and track client annual meeting calendar.
  • Review and log all correspondence related to client interactions and ensure compliance regulations
  • Monitor and report all gifting activities, ensuring they align with compliance guidelines.
  • Track and report non-discretionary trades
  • Maintain an updated Client Relationship Summary (CRS) log

Skills & Qualifications

• Education:
  • Bachelor’s degree in finance, Business, or related field, or equivalent experience in the financial services industry.
• Experience:
  • 1-3 years of experience in a client service or operations role within a financial services environment, preferably in an RIA, wealth management, or brokerage firm.
  • Knowledge of financial products, account types, and investment industry terminology.
  • Experience with account opening, transfer processing, and move money transactions is highly desirable.
• Technical Skills:
  • Proficiency in Microsoft Office Suite (Excel, Word, Outlook).
  • Experience with CRM (Salesforce), custodial platforms (e.g., Schwab, Fidelity, Pershing), and financial account management systems is a plus.
  • Strong understanding of financial transactions, including wire transfers, ACH, and other methods of money movement.
• Soft Skills:
  • Strong attention to detail and ability to handle sensitive client information with discretion.
  • Excellent communication skills, both verbal and written.
  • Strong problem-solving skills and the ability to troubleshoot issues independently.
  • Client-focused with a high level of professionalism and service orientation.
  • Ability to prioritize and manage multiple tasks in a fast-paced environment.

Certifications (Preferred, but not required):

• Series 65, or other relevant financial industry certifications, are a plus but not required.

Right to Revise:

This job description is not meant to be all-inclusive, and the Company reserves the right to revise this job description as necessary without advance notice.

The statements herein are intended to describe the general nature and level of work being performed by the employee. They are not to be construed as an exhaustive list of responsibilities, duties, and skills required of personnel so classified. Furthermore, they do not establish a contract for employment and are subject to change at the discretion of the employer without notice.

Why Join Us:

• Opportunity to play a key role in the growth and success of a leading RIA firm.
• Collaborative and supportive team environment.
• Competitive salary and benefits package.
• Continuous professional development opportunities.
• High end office located in Parsippany NJ with gym on-site.
• Culture activities focused on health & wellness, team collaboration, and employee engagement.