Client Associate

2 days ago

Walnut Creek, California, United States Rockefeller Financial Full time
{"title": "Client Associate", "description": "About Rockefeller Financial

Rockefeller Financial is a leading independent financial advisory services firm. With a rich history dating back to 1882, the Firm has evolved to offer strategic advice to ultra- and high-net-worth individuals and families, institutions, and corporations from offices in 30 markets throughout the United States, as well as an office in London. The Firm oversees $133 billion in client assets as of March 31, 2024.

Job Summary

We are seeking a motivated individual to join our Private Advisor team as a Client Associate. The Client Associate will work closely with our Private Advisor team members and interact directly with high-net-worth clients. This role will not be client-facing for at least one year. The ideal candidate will be the face of the practice and is thorough in their work, operates with a high attention to detail, has strong communication, organization, time management, and problem-solving skills, and is driven to develop and grow in their role.

Responsibilities
  • Account opening and maintenance
  • Transferring assets and money movement
  • Completing investment subscription documents
  • Cash management & RMDs
  • Assisting with client online access
  • Responding to account activity and statement inquiries
  • Managing life events
  • Administrative work as needed
  • Provide top-quality service to clients and complete administration of client accounts
  • Handle operational aspects of client accounts including reporting on account holdings and investment performance, posting daily cash activity, and entering trade instructions
  • Generate expense reports for submission using Concur
  • Process new accounts and account maintenance, by obtaining all necessary approvals and ensuring all client documentation is returned, completed, and approved
  • Process all client cashiering requests (money market redemptions, wires, checks, journals, check deposits, etc.)
  • Support marketing efforts by promoting client seminars and events
  • Offer administrative and office management support to the team
  • Prepare client correspondence, obtain necessary management approvals, and transmit
  • Review daily activity and reconcile current client activity, funds transfers, and previous day's activity and trades against various clearing firm systems to ensure accuracy
  • Oversee client insurance and annuities processes
  • Assist in preparation of key documents, PowerPoint presentations, and reports for client meetings
  • Attend client meetings as necessary and present client performance
  • Complete necessary filing and maintain client files
  • Attend compliance and continuing education training sessions as required by regulatory agencies and the firm
  • Additional duties as assigned
Qualifications
  • 1-3 years prior client service experience within the financial industry, or equivalent experience
  • Series 7 & 66 required
  • BA/BS degree
Skills
  • Strong client-facing, interpersonal, organizational, and client service skills
  • Detail-oriented with ability to prioritize and organize workflow
  • Ability to work in a fast-paced, high-intensity work environment as well as manage multiple tasks effectively with frequent interruptions
  • Strong Microsoft Office skills including Excel & PowerPoint
  • Experience with eMoney financial planning software a plus
Compensation Range

The anticipated base salary range for this role is $60,000 to $70,000. Base salary for the role will depend on several factors, including a candidate's qualifications, skills, competencies, and experience, and may fall outside of the range shown. In addition, this role may be eligible for other variable compensation programs. Rockefeller Financial offers a comprehensive benefit package including health coverage, vacation time, paid leave, retirement plan, and more. Visit to learn more about additional opportunities and benefits offerings.

Disclosure

Rockefeller & Co. LLC, Rockefeller Financial LLC, Rockefeller Trust Company, N.A., The Rockefeller Trust Company (Delaware), Rockefeller Financial Services, Inc. and all other subsidiaries of Rockefeller Capital Management L.P. (individually and collectively, "Rockefeller") is an equal opportunity employer and does not discriminate on the basis of race, religion, sex, gender, sexual orientation, gender identity or expression, national origin, citizenship, age, military or veteran status, marital or partnership status, caregiver status, legally recognized disability, or any other basis protected by applicable federal, state or local law ("protected characteristics"). Rockefeller Capital Management participates in the E-Verify program in certain locations, as required by law.

"}

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