Senior Client Service Associate

We are a Registered Investment Advisory Firm located in Birmingham, Alabama. We think about wealth management differently, because of our nearly 50-year history and the unique nature of our business model. We evolved from an investment bank primarily focused on municipal bond advisory and underwriting services to one that helps clients address a broad range of complex financial problems, as well as managing and investing capital. We’re an independent firm and that means independent thinking for our clients. Our connection to our clients and the depth in which we help them is the true difference. Additionally, our dedication to and support of our community is something we are incredibly proud of. We have been able to consistently grow our wealth management business, and currently work with approximately 100 families and 10 retirement plans. We think differently about our people as well. We appreciate and encourage new ideas and want our team to play a part in making the business and client experience better. To the degree that our size allows, we look to promote from within. Even when that next step is unclear, we develop and expand our employees to deepen their skills and knowledge in every way we can.

As our Senior Client Service Associate, you will build processes at a firm level to support growth objectives, oversee teams, and ensure exceptional client experience. This will include many areas of expertise: client billing processes, workflow management, team performance and training, tech stack optimization, marketing, events, and more. The role is diverse and will also include client-specific, account-specific, and general business functions. You will be willing to help with coverage in any operational area of the firm. The existing team is strong, but they will look to you for support, decision-making, guidance on escalated issues and overall leadership. We are continuously looking for better ways to excel for our clients so you will be thoughtful and creative in continuing that effort. You have great technical expertise and seek to use technology to drive the client experience and individual capabilities. We currently use Salesforce, Black Diamond, and NetDocuments primarily and look for further guidance on how to integrate these tools and what others we can leverage. You will shield the Advisory Team from operational activities so they can focus on providing excellent advice to clients and expanding client relationships. You will strategize with leadership and bring ideas for improvement, along with the tenacity and project management capabilities to implement. You will also support the Chief Compliance Officer in the operations and maintenance of the firm's regulatory compliance program.

Responsibilities

• Oversee client communication, meeting prep, post-meeting action items, trading/rebalancing, money movement, and account paperwork; continuous development, improvement and documentation of operating procedures
• Ensure quarterly reports are accurate and sent to all clients by the 5th day of each new quarter
• Ensure excellent, consistent client experience based on firm service model
• Manage planning of periodic client events and meaningful client gift strategy
• Provide backup client service as necessary (answering phones, trading, paperwork, etc.); take final responsibility for escalations other team members cannot resolve
• Ensure quarterly fee billing is accurately completed on the 5th business day of each quarter
• Evaluate performance, hold accountable, negotiate fees and terms, and act as primary contact with all vendors, including but not limited to the following: professional services (attorneys, recruiters, consultants), benefits (Insurance, 401K), IT services (hardware, email, cybersecurity, some software, phones, and internet issues), software providers, custodians, and marketing (website, content)
• Managing use and reviewing of portfolio management software, workflow software, CRM and cloud platform to broaden reporting, trading and other systems
• Ensure excellent team experience for all, managing down and up
• Evaluate performance and training/resource needs for each team member
• Handle all employee issues, including hiring, training, coaching, clarifying roles and expectations, performance reviews, salary and bonus recommendations, managing PTO, performance improvement plans, and terminations
• Oversee the planning of team-building events and activities, as well as meaningful acknowledgments, perks, and gifts
• Ensure compliance with company policies and procedures
• Develop/implement new compliance procedures as needed, including cybersecurity initiatives; serve as primary point of contact with compliance consultants
• Ensure timely completion and filing of all required compliance documents and submission of registration fees
• Head up special projects and additional responsibilities from time to time as needed
• This is a dynamic role that will continue to evolve, with much opportunity for future growth

Qualifications

• Bachelor’s or advanced degree in business administration or related field
• Minimum 5 years’ experience with independent registered investment advisor or broker-dealer
• Minimum 5 years’ experience in operations/client service management role
• Has or willing to obtain Series 65 license (required for compliance duties); CFP for knowledge base would be a plus
• Excellent verbal and written communication skills
• Superior knowledge of financial services, including industry regulations and legislative guidelines
• Technology savvy, proficient with Microsoft Office and CRM systems (Salesforce preferred) and can easily learn new software
• Familiarity with custodian systems and performance reporting (i.e. Black Diamond)
• Compliance, investment trading, and/or financial planning experience ideal
• Ability to streamline and implement new processes and team members’ roles to enhance efficiency, effectiveness, and accuracy, and support rapidly shifting business demands
• Excellent leadership skills; successful at training, delegating, and holding others accountable
• Team player – humble, hungry, and smart; willing to fill in for others’ duties when needed
• Open to feedback, driven to continually learn, improve, and grow themselves and the company
• Not afraid to make decisions and learn from mistakes; empowers others to make decisions
• Accomplished communicator able to express concerns, frustrations, have tough conversations, and provide honest feedback in a respectful manner, even when it’s hard to give
• Respectful, loyal, excellent listener, honest, and inspires trust in others
• Ability to diagnose problems quickly and proactively determine creative solutions
• Organized, disciplined, excellent time management to prioritize many projects simultaneously

Compensation

• We leverage industry data from multiple resources to determine compensation ranges. The base compensation range for this role is $100K-$130K and will be entirely based on experience and credentials.
• Bonus plan
• Health, Dental and Vision insurance, employer pays a portion of premiums
• $100K Life insurance, employer-paid
• Short-term and Long-term Disability, employer paid
• 401k with 4% safe harbor matching contribution
• $100 monthly stipend towards cell phone
• Flexible Spending Account
• Reimbursement of relevant and approved professional dues and memberships, study materials and exam fees
• Support in approved volunteer work, through reimbursement of any dues and/or time off to participate in events