Sr. Client Service Associate

1 month ago

Costa Mesa, United States LEISURE CAPITAL MANAGEMENT Full time
Job DescriptionJob DescriptionBenefits:
  • 401(k)
  • 401(k) matching
  • Health insurance
  • Paid time off
  • Profit sharing

Senior Client Service Associate You will have a pivotal role in maintaining and enhancing client relationships for a Registered Investment Advisory (RIA) firm. You will assist in leading a team of client service associates, ensuring the delivery of exceptional service and support to our clients. Location: Costa Mesa, CA. Minimum of 3-5 years experience with Registered Investment Advisor required.

Senior Client Service Associate Responsibilities
  • Lead the support team with daily client service activities.
  • Handle client input within financial planning software and become proficient with various technology platforms, both for clients and internally.
  • Have client interactions, both over the phone and in person, and you'll collaborate closely with the Head of Operations and lead advisors on a day-to-day basis.
  • New Client onboarding and New Account opening, manage/monitor the new account workflows. Assist clients with employer sponsored retirement account rollover requests.
  • Prepare necessary paperwork or prepare Charles Schwab Digital and DocuSign onboarding workflow when appropriate.
  • Meet weekly to review workflow status with the rest of the team.
  • Monitor Schwab alerts and notify responsible parties of action needed/ take appropriate action to resolve issues.
  • Cashiering - inbound and outbound movement requests; Checks, wire transfers, journals, ACH.
CRM Salesforce Financial Services Cloud
  • Assist with ongoing Action Plan creation and maintenance.
  • Manage daily tasks.
  • Create monthly Opportunity Reports.
Portfolio Management Software Tamarac
  • Maintain client data (billing, addresses, client portal).
  • Assist in Quarterly Reporting requirements.
Compliance Data Maintenance
  • ACA ComplianceAlpha Compliance Management Software
  • Prepare updates and calendared Compliance tasks for CCO review.
  • Monthly, Quarterly and Annual reporting.
  • Prepare SEC regulatory updates.

Key Requirements:


Education & Experience:
  • Bachelors degree preferred.
  • 4+ years of experience with a Wealth Management firm.

  • Personality Traits:
  • We want someone who is looking for the next chapter of their career.
  • Professional needs to know how to conduct themselves with clients, both via email and over the phone.
  • Humble eager to learn, open to constructive criticism.
  • Proactive we want someone who will take ownership of their responsibilities and will actively help to improve client service and processes.
  • Great communication skills verbal and written.
  • Likes learning new things and new technology someone who adapts well to new technology.
  • Someone who enjoys helping clients.


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