What are the responsibilities and job description for the Client Service Specialist Broker - Dealer (Hybrid) position at Mercer Global Advisors?
Why Work at Mercer Advisors?
For nearly 40 years, Mercer Advisors has worked with families to help them amplify and simplify their financial lives. How? By integrating financial planning, investment management, tax, estate, insurance, and more, all managed by a single team. Today we proudly serve over 31,300 families in more than 90 cities across the U.S. Ranked the #1 RIA Firm in the nation by Barron's, we are an independent, national fiduciary legally obligated to always act in the best interest of our clients.*
Mercer Advisors offers a distinct work environment that stands out in the financial industry. Our overall employee base and client-facing team are composed of 50% women, reflecting our commitment to diversity. We attract top talent from across the country, with no formal headquarters and flexible working arrangements, allowing us to assemble the best team possible.
Join us and be a part of a team dedicated to making a meaningful impact on the financial lives of families across the country.
The primary focus of a Client Service Specialist, Broker Dealer is to provide excellent follow-through and operational support to the brokerage service team in servicing and delivering on the needs of high-net-worth clients. As a Client Service Specialist, Broker Dealer, you will have a direct impact on the client experience and are vital to the success of the organization. You will be a member of a dynamic team in a collaborative, client-focused environment utilizing your exceptional organizational, communication and problem-solving skills.
Essential Job Functions For This Role Include
Business & Technological Knowledge
Individual Experience
Core knowledge of the industry
Economic Landscape
Working knowledge of the economic landscape and impact on the Firm and clients
Data/Financial Acumen
Seasoned working knowledge of data and financial metrics relevant to the job
Business Operations
Strong working and core knowledge of Broker-Dealer Office Operations and purpose/relationship to other Firm operational groups
Technology - Junxure
Foundational to strong understanding of Junxure
Core Tech/Platforms
Able to effectively navigate Core Technology (Microsoft Office, Laserfiche, Custodian Sites, Task Management tools, DocuSign, and more) at an expert level
Technology - Black Diamond
Some knowledge and continued development of Black Diamond and assisting with ad hoc reporting requests
Compliance
Foundational knowledge of aspects of compliance as relates to job tasks in role and a growing working understanding of compliance requirements
Business Operations - Account
Learning the basics of Account Operations and beginning to execute related tasks
SO's - Brokerage
Able to facilitate brokerage offerings and process change requests
Interpersonal Effectiveness
Teamwork & Collaboration
Actively practices teamwork and collaboration within and beyond the assigned team -- e.g., with Branch Ops or Investment Ops and other mid and back-office operations
Work Environment
Contributes to a positive work environment; builds appropriate rapport with other team members
Balancing Priorities
Balances competing priorities and manages time pressures with composure
Trustworthiness
Instills trust across the Firm as someone who can be counted on for honesty, integrity, and reliability
Professional Presence
Demonstrates commitment to professional behaviors - punctuality, attendance, appropriate office conduct, responsiveness, and follow-through
Communications
Presents oral and written communications in a concise and well-organized form
Client Focus & Accountability
Client Service
Directly supports and maintains client account operations. Demonstrates logical approach to gathering information to answer client questions. Partners with others to maintain client relationships through responsive, proactive client service. Serves as the primary point of operational contact for clients and brokerage teams. Effectively resolves and manages solutions to resolve client concerns and issues. Proactively engages with internal and external clients to exceed expectations.
Resource Coordinator
Has established working relationships with internal resources needed to deliver high quality work on a timely basis
Quality
Demonstrates accountability for own work quality; can quality control own work
Leadership
Vision & Values
Understands and consistently demonstrates full commitment to HYA & Mercer Advisors Guiding Principles
Talent Development
Proactively takes on new work. Actively seeks feedback from team members and Wealth Management leaders. Assists with training and mentors new employees as needed.
Innovative & Change Management
Seeks to learn and apply new approaches and processes. May begin to identify/suggest process improvements.
Firm-building
Represents the Firm in a professional manner
Driving Results
Understands and supports meeting KPI goals
Requirements
Education
This professional role requires availability during standard business hours of Monday through Friday from 8AM to 5PM. At times, the role may have early or late hours to meet business tasks and deadlines for external and internal client needs.
All roles classified as a non-exempt are required to record working time into the timekeeping system daily at the start and end of each workday plus a 30-minute unpaid lunch period.
Working Conditions
This position may be in a professional office environment or a dedicated home office workspace which is free of interruptions. Whether position is in a dedicated office space or home office workspace, basic technology needs will be provided to satisfy position requirements. Routinely sitting and standing for periods of time. No heavy lifting over 10 lbs.
Benefits
Mercer Advisors offers a competitive and robust benefit package to our employees. Our benefit programs are focused on meeting all of our employees and their eligible dependents health and welfare needs. We offer the following:
Mercer Advisors provides equal employment opportunity to all applicants and employees without regard to age, color, disability, gender, marital status, national origin, race, religion, sexual orientation, gender identity and expression, physical or mental disability, genetic predisposition or carrier status, or any other characteristic protected by law in accordance with all applicable federal, state, and local laws. Mercer Advisors provides equal employment opportunity in all aspects of employment and employee relations, including recruitment, hiring, training and development, promotion, transfer, demotion, termination, layoff, compensation, benefits, and all other terms, conditions, and privileges of employment in accordance with applicable federal, state, and local laws.
For nearly 40 years, Mercer Advisors has worked with families to help them amplify and simplify their financial lives. How? By integrating financial planning, investment management, tax, estate, insurance, and more, all managed by a single team. Today we proudly serve over 31,300 families in more than 90 cities across the U.S. Ranked the #1 RIA Firm in the nation by Barron's, we are an independent, national fiduciary legally obligated to always act in the best interest of our clients.*
Mercer Advisors offers a distinct work environment that stands out in the financial industry. Our overall employee base and client-facing team are composed of 50% women, reflecting our commitment to diversity. We attract top talent from across the country, with no formal headquarters and flexible working arrangements, allowing us to assemble the best team possible.
Join us and be a part of a team dedicated to making a meaningful impact on the financial lives of families across the country.
- Mercer Advisors was ranked #1 for RIA firms with up to $70 billion in assets. The Barron's top RIA ranking is based on a combination of metrics - including size, growth, service quality, technology, succession planning and others. No fee was paid for participation in the ranking, however, Mercer Advisors has paid a fee to Barron's to use the ranking in marketing. Please see important information about the ranking criteria methodology here.
The primary focus of a Client Service Specialist, Broker Dealer is to provide excellent follow-through and operational support to the brokerage service team in servicing and delivering on the needs of high-net-worth clients. As a Client Service Specialist, Broker Dealer, you will have a direct impact on the client experience and are vital to the success of the organization. You will be a member of a dynamic team in a collaborative, client-focused environment utilizing your exceptional organizational, communication and problem-solving skills.
Essential Job Functions For This Role Include
- Responsible for day-to-day operations and administrative support for one or more registered representative including answering inbound calls and email requests, scheduling and gathering client data for ongoing service processes
- Ensuring all paperwork and procedures for client requests are completed and adhere to compliance requirements
- Coordinating with internal operation departments to ensure client requests are fulfilled.
- Managing client deposits
- Maintaining data integrity across all systems and updating as necessary
- Researching client issues in cooperation with back-office operation partners
- Onboarding new clients, processing transfer paperwork, setting up new accounts while coordinating with the brokerage service team, custodians, and Black Diamond
- Other duties as needed
Business & Technological Knowledge
Individual Experience
Core knowledge of the industry
Economic Landscape
Working knowledge of the economic landscape and impact on the Firm and clients
Data/Financial Acumen
Seasoned working knowledge of data and financial metrics relevant to the job
Business Operations
Strong working and core knowledge of Broker-Dealer Office Operations and purpose/relationship to other Firm operational groups
Technology - Junxure
Foundational to strong understanding of Junxure
Core Tech/Platforms
Able to effectively navigate Core Technology (Microsoft Office, Laserfiche, Custodian Sites, Task Management tools, DocuSign, and more) at an expert level
Technology - Black Diamond
Some knowledge and continued development of Black Diamond and assisting with ad hoc reporting requests
Compliance
Foundational knowledge of aspects of compliance as relates to job tasks in role and a growing working understanding of compliance requirements
Business Operations - Account
Learning the basics of Account Operations and beginning to execute related tasks
SO's - Brokerage
Able to facilitate brokerage offerings and process change requests
Interpersonal Effectiveness
Teamwork & Collaboration
Actively practices teamwork and collaboration within and beyond the assigned team -- e.g., with Branch Ops or Investment Ops and other mid and back-office operations
Work Environment
Contributes to a positive work environment; builds appropriate rapport with other team members
Balancing Priorities
Balances competing priorities and manages time pressures with composure
Trustworthiness
Instills trust across the Firm as someone who can be counted on for honesty, integrity, and reliability
Professional Presence
Demonstrates commitment to professional behaviors - punctuality, attendance, appropriate office conduct, responsiveness, and follow-through
Communications
Presents oral and written communications in a concise and well-organized form
Client Focus & Accountability
Client Service
Directly supports and maintains client account operations. Demonstrates logical approach to gathering information to answer client questions. Partners with others to maintain client relationships through responsive, proactive client service. Serves as the primary point of operational contact for clients and brokerage teams. Effectively resolves and manages solutions to resolve client concerns and issues. Proactively engages with internal and external clients to exceed expectations.
Resource Coordinator
Has established working relationships with internal resources needed to deliver high quality work on a timely basis
Quality
Demonstrates accountability for own work quality; can quality control own work
Leadership
Vision & Values
Understands and consistently demonstrates full commitment to HYA & Mercer Advisors Guiding Principles
Talent Development
Proactively takes on new work. Actively seeks feedback from team members and Wealth Management leaders. Assists with training and mentors new employees as needed.
Innovative & Change Management
Seeks to learn and apply new approaches and processes. May begin to identify/suggest process improvements.
Firm-building
Represents the Firm in a professional manner
Driving Results
Understands and supports meeting KPI goals
Requirements
Education
- High School diploma with a Bachelor's degree highly preferred
- 2-3 years of job-related experience required
- Financial services industry required
- Prior experience working in an office environment with a customer service focus helpful
- Notary designation a plus
- FINRA Series 7 preferred, but can be obtained within 18 months after start
- Ability to prioritize in a fast-paced environment while maintain client focus and demonstrating attention to detail
- Enjoy collaborating and building positive relationships internally with co-workers and externally with clients and business vendors
- Excellent verbal and written communications skills a must
- Strong MS Word, Excel, and Outlook skills required; prior use of CRM system (Junxure) a plus.
- Strong desire for continuous self-learning and professional growth
This professional role requires availability during standard business hours of Monday through Friday from 8AM to 5PM. At times, the role may have early or late hours to meet business tasks and deadlines for external and internal client needs.
All roles classified as a non-exempt are required to record working time into the timekeeping system daily at the start and end of each workday plus a 30-minute unpaid lunch period.
Working Conditions
This position may be in a professional office environment or a dedicated home office workspace which is free of interruptions. Whether position is in a dedicated office space or home office workspace, basic technology needs will be provided to satisfy position requirements. Routinely sitting and standing for periods of time. No heavy lifting over 10 lbs.
Benefits
Mercer Advisors offers a competitive and robust benefit package to our employees. Our benefit programs are focused on meeting all of our employees and their eligible dependents health and welfare needs. We offer the following:
- Company Paid Basic Life & AD&D Insurance
- Company Paid Short-Term and Long-Term Disability Insurance
- Supplemental Life & AD&D; Short-Term Disability; Accident; Critical Illness; and Hospital Indemnity Insurance
- Three medical plans offerings including two High Deductible Health Plans and a Traditional Co-Pay medical plan.
- Health Savings Account (HSA) with company contributions on a per pay period basis if enrolled in either HDHP medical plan.
- Two comprehensive Dental Plans
- Vision Insurance Plan
- Dependent Care Savings Account for child and dependent care.
- 14 Company Paid Holidays with a full week off at Thanksgiving.
- Generous paid time off program for vacation and sick days
- Employee Assistance Plan
- Family Medical Leave
- Paid Parental Leave (6 weeks)
- Maternity benefits utilizing company paid STD, any supplemental STD, plus Parental Leave (6 weeks) to provide time for recovery, baby bonding, and enjoying your family time.
- Adoption Assistance Reimbursement Program
- Company Paid Concierge Services for you and your loved ones for the spectrum of caring needs for your aging parents, young children, life's challenges and more.
- 401(k) Retirement Plan with both Traditional and Roth plans with per pay period match
- Pet Insurance
Mercer Advisors provides equal employment opportunity to all applicants and employees without regard to age, color, disability, gender, marital status, national origin, race, religion, sexual orientation, gender identity and expression, physical or mental disability, genetic predisposition or carrier status, or any other characteristic protected by law in accordance with all applicable federal, state, and local laws. Mercer Advisors provides equal employment opportunity in all aspects of employment and employee relations, including recruitment, hiring, training and development, promotion, transfer, demotion, termination, layoff, compensation, benefits, and all other terms, conditions, and privileges of employment in accordance with applicable federal, state, and local laws.
