Client Operations Associate

Client Operations Associate

Waterstone Wealth Strategies, Inc., is a boutique financial services company located in Marietta, GA. We are a relationship-based firm that manages our clients with honesty, integrity, and professionalism. As a firm, our clients are like friends and family, and we strive to make a positive difference in their lives. We work hard to maintain our clients’ trust. 

Our focus is to empower our clients and communities to make sound financial decisions. We are a rapidly expanding practice that hosts a flexible and supportive work environment. We are looking for a hard worker who knows how to correctly complete tasks in a timely manner and enjoys going the extra mile for our amazing clients.

As the Client Operations Associate at Waterstone Wealth Strategies, you will be asked to use your skills to work with a multitude of operational tasks, which are to be completed efficiently with the goal of upholding the high standard that our clients have grown to know and expect over the years.

These Tasks Will Include:

• Client File Management

o Uploading client information to our secure online programs and filing system

o Helping to maintain a paperless office with all documentation

• Client Service Items & Forms

o Must learn how to find, fill out, and send the correct forms to clients

• Account Opening & Servicing

• Process & Track New and Existing Business

• Operations and Compliance Management

o Keeping proper records

o Communicating with Broker Dealer

o Creating and updating back-office Support Center tickets

• Use of Client Relationship Manager (Wealthbox)

• Task Management

o Create new and recurring tasks to assign to team members

o Track and record completion of tasks

• Data Entry Through the Financial Planning Process

o Complete processing of meeting notes, to include assignment of action items

o Document each step of the process, along with tasks and activities 

• Receiving and Executing Client Requests

o Troubleshooting online access, log-in issues, and other routine client questions and service requests

The Client Operations Associate Will Be Responsible For:

• Working independently to manage, research and resolve client service requests

• Collecting and compiling account paperwork for client meetings

• Handling sensitive and confidential information with maximum discretion

• Providing administrative support to financial advisors 

• Meticulously maintaining back-office records and activities ensuring compliance with applicable regulatory procedures and guidelines 

• Researching and resolving Broker Dealer and investment sponsor company inquiries 

• Contributing ideas on current firm processes, procedures, and protocols to maximize efficiency

• Providing a welcoming atmosphere to all prospective and existing clients of the practice through both telephone and face-to-face contact

• Providing a timely accurate, high level of service regarding the execution of all account-related requests

• Other duties as assigned to facilitate overall firm and office operations

This individual must be energetic, organized, and able to communicate effectively. One goal of the position is to minimize the advisor’s workload by seeking out new tasks and responsibilities.  

Skills and Qualifications:

• High school diploma at a minimum 

• Financial industry experience preferred, but not required

• Strong proficiency with computers and Microsoft software (Excel, Power Point, Word)

• Must be comfortable interacting with clients in a professional manner through various modes of communication

• Ability to follow directions and prioritize tasks to ensure that deadlines and attention to detail is sustained

• Teachable and excited to learn procedures and help improve them along the way

• Positive disposition in the office and with clients

• Desire to grow and learn within a hard-working team

• Strong attention to detail with the ability to work with a high degree of accuracy.

• Superior written and oral communication skills

• Ability to maintain a high degree of confidentiality

• Ability to proactively identify what needs to be accomplished and take action as appropriate

• Ability to work both independently and in a team

• Must be able to complete fingerprinting and pass a background check

Important Items:

• This position works in a professional office environment 

• Hours are Monday through Friday, 8am-5pm

• Work/life balance is an important aspect of the firm

• Business attire required

• Compensation based on experience

If this description sounds like a great fit for you, we are excited to hear from you and to schedule an interview!

Securities and investment advisory services offered through Osaic Wealth, Inc. member FINRA/SIPC. Osaic Wealth is separately owned and other entities and/or marketing names, products or services referenced

here are independent of Osaic Wealth.