Client Service Associate

4 weeks ago


Auburn, Indiana, United States CX Institutional LLC Full time
Job Description

Purpose:

The Client Service Associate plays a vital role in delivering exceptional client experiences by building strong relationships with each client. This individual will support the Wealth Advisor in managing and maintaining accurate client accounts, processing fund transactions, and providing support with online systems.

The Client Service Associate may have unique tasks associated with the corresponding client service level: Financial Guidance, Wealth Management, and Private Wealth.

Key Responsibilities:

  • Onboard, maintain, and offboard clients, accounts, and client relationships through system account updates and fielding questions from clients about their account status.
  • Process new client accounts, combine accounts, transfer accounts, client banking information, or close accounts by following system business processes.
  • Create, transfer, and update client households in CRM, and custodial and finance systems, including beneficiaries, address and contact changes, new and transitioning account information, and financial life events.
  • Identify, communicate, assist, and resolve questions and concerns from clients with online systems access, functionality, and provide demo use when necessary.
  • Understand, demonstrate, and continually improve a thorough and well-rounded knowledge of account types, regulatory compliances, basic trade instructions, account settlements timeframes, Required Minimum Distributions (RMDs), account roll-overs, security holdings, and investments.
  • Assist the Client Care Coordinator (CCC) role as necessary, provide scheduling support, answer and route phone calls to team members.
  • Prepare, host, and attend online conference calls and other office meetings about new processes, systems use, onboarding/offboarding updates, etc.
  • Remain knowledgeable in the policies and regulations of the regulatory bodies to ensure compliance with all work activities.
  • Work with all other team members in a way that is conducive with the mission, values, and beliefs of the company to provide client service beyond expectations
  • Comply with company-wide policies and SEC regulations

Requirements:

  • High School Diploma; Associate's degree in finance, Business Administration a plus
  • 1+ years in Finance, Banking, Tax or Accounting; Customer Service experience preferred
  • Series 65 licensing achieved within 30-60 days after hire

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