What are the responsibilities and job description for the Client Services Assistant position at claremont savings?
Job Description
Job Title: Client Services Assistant
Department: Claremont Financial Services
Date Revised: January 2025
Reports to: SVP, Investment Advisor Representative
Officer Status: None
FLSA Classification: NE6
Summary of Excellence:
The Client Services Assistant provides exceptional customer service by making themselves forefront and available to effectively assist the client. The role is responsible for providing a high level of detailed administrative and client support for the Registered Financial Advisors. The Assistant acts as the initial client contact person by way of assistance and troubleshooting any concerns the clients of the Claremont Financial Services office have. This role builds and strengthens client relationships while maintaining customers’ data and communicates confidential client information professionally and discreetly. This position helps to ensure compliance with regulations and controls set by LPL and FINRA & CSB regulatory authorities.
Career Competencies:
Action Oriented
Ensures Accountability
Organizational Savvy
Communicates Effectively
Balances Stakeholders
Customer Focus
Instills Trust
Interpersonal Savvy
Cultivates Innovation
Plans & Aligns
Self-Development
Situational Adaptability
Essential Duties and Responsibilities:
Professionally greets and assists visitors and ensures that all customers are made to feel welcome. Ensures all visits are handled with the utmost professionalism
Proactively follows up with customers verbally and in writing to obtain required information and to confirm appointments.
Continually builds knowledge of required documents, broker-dealer forms and systems as well as legal ownership roles such as: trusts, estates, pensions, etc.
Personally develops and deepens relationships with customers. Follows up on documentation and customers’ requests, ensuring proper documentation and follows all compliance guidelines
Performs a variety of clerical, administrative, and organizational duties in addition to technical support for the Advisors including answering and screening calls for the Advisors by assisting the customer directly or by taking messages, as appropriate.
Helps maintain a complete and accurate database of customer contact information including documentation of interactions phone calls, meetings, and correspondence as well as a reminder system for future customer contact and follow-up.
Assists with new account openings, transfers, and other transactions in coordination with the Advisors and processes the related documents.
Researches information and prepares documents and presentation materials needed for customer and prospect meetings.
Proofreads documents and marketing materials to ensure accuracy of information and adherence to CFS and Bank standards. Sends marketing material through compliance alliance for approval.
Gathers and distributes incoming mail.
Maintains compliance files and follows up on open items daily with LPL.
Maintains the tracking of referral log and follows through with than advisors on thankyous and payout.
Other Duties and Responsibilities:
Updated and tracks monthly reports such as the scorecard for reviews.
Follows all established audit and compliance procedures
Troubleshoots problems and serves as a liaison between Advisors and Customers
Ensures all departmental documents and activities are performed in compliance with applicable laws, regulations, policies, and procedures as applicable to this position, including completion of required compliance training.
Other duties as assigned by the Advisor
Supervisory Responsibility:
None
Professional Relations:
Works professionally with all employees, customers, vendors or the general public to achieve goals and objectives of Claremont Savings Bank’s vision, mission and values.
Enhances the Bank’s image by providing representation and involvement in community activities and charitable, civic and social organizations.
Education/Certification:
Ability to obtain passing score on SIE exam within 3 months of employment
High School Diploma or Equivalent.
Ability to pass LPL background checks to include criminal, credit and security records.
Required Experience/Required Knowledge:
Basic understanding of investment products and services, as well as well as fiduciary rules, retirement accounts, trusts and estates.
At least three-years financial services experience preferred.
Skills/Abilities:
Ability to effectively solve potential problem or concerns and follow up with customers as needed.
Excellent organizational skills with the ability to prioritize tasks and meet deadlines
Proficient computer software skills
Strong listening skills and telephone etiquette
Strong communication skills
Works well under pressure
Proven accuracy in new accounts and transaction processing
Ability to adapt to a changing environment
Strong people and organizational skills
Working Conditions and Physical Requirements:
Moderate physical effort required; normally seated with the freedom of movement on a regular basis; some lifting of light materials and supplies. Work involves a mixture of walking, sitting, and/or standing. Well-lighted and ventilated office environment, which are generally pleasant and comfortable. Minimal exposure to injury or other hazards with moderate level of noise.
*Performance Measurements will be used to determine if a person is successful in the position.*
External and internal applicants, as well as position incumbents who become disabled as defined under the American with Disabilities Act must be able to perform the essential functions (as listed) either unaided or with the assistance of a reasonable accommodation to be determined by management on a case by case basis.
This job description represents an overview of the essential functions of this job. This is not a complete listing of all required duties. Specific duties may vary over time to meet the needs of the Bank.
Claremont Savings Bank reserves the right to change the job duties as business requirements dictate. The employee will be expected to perform other reasonably related duties as may be required by Management.
Every employee works for Claremont Savings Bank, not just for a particular manager. Accordingly, employees are expected to act in the best interests of the Bank, even if doing so requires actions and responsibilities not listed in the above job description.
Job descriptions are not intended as and do not create employment contracts. The Bank maintains its status as an at-will employer.
Approval: See Electronic Signature in ADP WorkforceNow
