Client Services Specialist

Central Investment Advisors (CIA) is responsible for providing non-deposit investment products to the customer base throughout the bank’s entire footprint. CIA currently employs 36 Financial Advisors and 15 Client Service Specialists (CSS) throughout the program. This group provides brokerage and advisory services to nearly 20,000 clients with assets under management totaling $4 billion. Products and services available to clients include, but are not limited to individual stocks, ETFs, mutual funds, bonds, fixed and variable annuities, insurance and advisory accounts.

Position Summary

The Client Services Specialists (CSS) and the Financial Advisor(s) (Advisor) they support will not be housed in the same physical location, the CSS will support the Advisor(s) through the use of technology. The CSS supports the assigned Advisors(s) in various aspects of client/broker relations just as they would if they were in the same physical location. This includes but is not limited to maintaining the contact management database for each Advisor, contacting current clientele for appointment setting purposes, completing analytical and clerical duties and limited client assistance in regard to the brokerage account relationship.

Responsibilities

• Maintaining and updating client contact information per CIA standards
• Calendar management, tasks and client meeting notes, client contact information.
• Maintain and complete workflow items as established and assigned.
• Make daily outbound calls for the purpose of setting virtual and in-person appointments for the Advisor(s).
• Assisting in preparing for all appointments. This may entail providing the Advisor with client holding and performance reports, ensuring updated Financial Planning, and preparing updated account forms. The CSS is responsible for tracking all referrals made to the Advisor(s) by bank employees.
• Maintaining the Checks and Securities log.
• Monitoring tools for any municipal bond.
• Assisting clientele with on-line access to their accounts. This may involve walking the client through how to establish sign-on credentials or working with the vendor to ensure proper security and access is established for the client.
• Clerical duties include preparing general correspondence, maintaining necessary documents for client files, assisting in the completion of new account paperwork, monitoring alerts & emails, answering the phone, entering checks and securities received, monitoring the bank funding account status reports, ensuring that client requests are communicated and processed timely and accurately.
• Maintaining files required by FINRA. These include sales literature, incoming correspondence, outgoing correspondence, verbal complaints, written complaints, good till cancelled orders, advisor file, and unregistered assistant file.
• Contact with numerous clients on daily basis, contact may include assisting the client with address changes including email addresses, setting a client up for e-delivery of regulatory notifications, updating funding account information, dividend and interest payment verification, communicating status of account transfers, communicating follow-up on requests for processing, communicating cost basis information, mailing copies of account documentation to clients, and general client inquiries.
• Work with staff at each market staff to ensure that banking-related functions are completed correctly and in a timely fashion. These functions may include, opening funding accounts and ensuring are in good order by reviewing reports.
• Work closely with CIA’s Marketing for development and distribution of marketing items and distribution to the assigned client base.
• Establish regular communications with the Advisor(s).
• Give basic banking assistance to clients with regard to funding account balances, accept requests for money movement, follow-up with clients on insufficient items that are derived from an account transaction and request the issuance of bank checks for sale proceeds or dividend & interest payments from brokerage funding accounts to be mailed to clients.
• Travel to the branch offices periodically. The travel may be for the purpose of supporting a client event, meeting with clients and the Advisor, setting in the office while an Advisor is on vacation or taking sick leave, etc. Some travel will require an overnight stay
• Maintain contact management database Update and maintain required management reports.
• Complete & submit electronically the Monthly Correspondence received.
• Communicate with program management on office activities
• Generate & distribute reports to specified clients and coordinate with CIA Assistant PM on report setup and creation.
• Complete house holding of client base.
• Ensure all contacts are linked and that duplicate contacts are “cleaned up”.
• Required attendance at annual CSS meetings
• Ongoing training & certification on program software
  
  
  

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Requirements

Bachelor’s Degree in the Business discipline desired or equivalent work experience

Finance And Banking Experience Preferred

Series 7 and Series 66 Licenses preferred or willingness to obtain within 1 year

Exceptional customer-service attitude with strong client relation skills

Capable of managing multiple tasks, prioritizing and meet deadlines.

Strong organizational skills.

Strong PC skills.

Creative thinking and ability to share ideas

Self-starter - initiative to begin projects independently

Capability to work with various software products

Excellent oral & written communication skills

Attention to detail is key

Proficient in all technology platforms and utilize each platform within CIA and the broker dealer standards