Client Service Associate - Wealth Management (GF)

Firm Overview:

We are a second-generation, female-led financial advisory practice in the community of St. Cloud, MN. We are passionate about our community and the work we do with our clients. Our comprehensive wealth management process includes a combination of financial planning, retirement income planning and relationship management. We go far beyond investment advice and help our clients with a full spectrum of topics, including those they have yet to face. We are a small team and collaborate closely to care for our clients. We are energetic, collaborative and client service focused. Our clients always come first. We expect top performance and a can-do, committed attitude from all team members.

Position Overview:

Our firm is looking for a Client Service Associate to support our advisors, our clients and our continued growth. This is a critical role in our organization. This position is responsible for facilitating and maintaining ongoing client support, answering general inquiries, handling various client matters, researching, and resolving client service issues, and preparing required documents. You are going to be tech savvy, an adopter of change and always willing to help. You are naturally curious, love organization and detail work. You have been in the business awhile and understand many, if not all, client situations, even when complex. Because of this, you are proactive and able to help clients and your advisors steer clear of landmines.

Previous experience supporting a financial advisor is required. Securities licensing (SIE/7/63) is highly preferred, with at least one license being required. An attractive compensation and benefits package awaits the successful candidate.

Position Duties and Tasks:

• Answer telephone inquiries from clients
• Deliver concierge service to clients in phone and in person, great conversationalist
• Ask questions and be able to articulate problems/issues to Advisor
• Handle calendar for Advisor including set up and confirmation of review meetings as needed
• Set-up and maintain client management system
• Create client meeting portfolio summary
• Handle routine service matters for client accounts to include processing name and address changes, account applications, bank authorizations, beneficiary changes, etc.
• Service existing clients including processing retirement distribution, paperwork for changing investments, preparing for client reviews, etc.
• Provide marketing support for the office to include:
• Sending marketing brochures to clients and prospects at direction of Advisor
• Following up on referrals, leads, prospects or clients with letters or notes signed by Advisor
• Handling unsolicited calls from prospects to schedule appointments or refer to Advisor
• Assist in coordinating seminars or client appreciation events
• Ensure branch office meets the broker/dealer’s compliance requirements
• Record all transactions on appropriate logs and blotters
• Set up client files, both paper and electronic, correctly and obtain necessary information
• Track continuing education for licensed professionals
• General office responsibilities will include basic accounting, revenue tracking, mail management, tending to the lobby and client meeting areas, and decorating for holidays
• Assist with other duties and projects as assigned

Position Requirements:

• Four-year college degree highly preferred
• 1 years’ experience in financial service industry required
• SIE Series 7/63 securities license highly preferred; or able to obtain within 90 days; at least one license required
• Knowledge of Broker Dealer and Investment Advisory Regulations a plus
• Intermediate to Advanced knowledge of Microsoft Excel, Word, and PowerPoint
• Excellent written and verbal communication skills; excellent telephone manner
• Ability to work independently and in a team environment
• Ability to multi-task, organize, and manage multiple detailed tasks under deadline in a fast-paced environment
• Strong attention to detail, problem solving, and analytical skills