Senior Client Service Associate

2 weeks ago

Birmingham AL USA, United States TalentLink Solutions Full time
Job Title: Senior Client Service Associate

We are a Registered Investment Advisory Firm located in Birmingham, Alabama, with a nearly 50-year history of providing exceptional wealth management services to our clients. Our unique business model allows us to think differently about financial planning, and we're looking for a talented Senior Client Service Associate to join our team.

Key Responsibilities:
  • Oversee client communication, meeting prep, post-meeting action items, trading/rebalancing, money movement, and account paperwork, ensuring continuous development and improvement of operating procedures.
  • Ensure quarterly reports are accurate and sent to all clients by the 5th day of each new quarter.
  • Manage planning of periodic client events and meaningful client gift strategy.
  • Provide backup client service as necessary, taking 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 professional services, benefits, IT services, software providers, custodians, and marketing.
  • Manage use and review 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.
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.

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