Wealth Management Client Services Specialist

2 months ago

New York, New York, United States KDS Strategic Search Group Full time

Exciting Opportunity in Wealth Management

We are seeking a dedicated Client Services Associate to enhance our Wealth Management division, focusing on Ultra-High-Net-Worth clientele and collaborating closely with our sales professionals.

This role offers the chance to work within a prestigious global financial services organization, directly supporting top-performing Wealth Managers.

Position Overview:

The ideal candidate will be a meticulous and client-focused Registered Client Service Associate, specializing in stock plan management and client equity strategies. This position involves working closely with corporate clients and their equity plan participants, ensuring exceptional service delivery.

Key Responsibilities:

Executive Support:

  • Manage and support equity awards, including RSUs, Performance Units, NQ Options, SARs, and ISOs.
  • Provide education on the nuances of company equity awards.
  • Prepare and file necessary SEC documentation for transactions, including Rule 144 and Section 16 forms.
  • Collaborate with the financial services team to ensure timely and accurate public filings.
  • Implement and oversee 10b5-1 Plans.
  • Enforce company policies regarding share retention, holding periods, and trading windows.

Client Relationship Management:

  • Act as the primary contact between corporate clients' equity compensation departments and the Wealth Management team.
  • Communicate relevant updates and upcoming events to the Wealth Management team.
  • Facilitate introductions between equity participants and Financial Advisors to promote diversification and additional financial services.

Operational Support:

  • Address daily inquiries and tasks related to stock plan administration.
  • Manage account setup and ongoing maintenance.
  • Generate and distribute reports on gains, losses, projected income, tax documentation, and performance metrics.
  • Execute transactions, including buying and selling securities, cash transfers, capital calls, donations, and withdrawals.
  • Oversee the management of corporate actions such as mergers, acquisitions, and spin-offs.

Qualifications:

  • In-depth knowledge of equity awards and SEC regulations.
  • Exceptional communication and relationship management abilities.
  • Detail-oriented with strong organizational capabilities.
  • Proficient in managing multiple tasks and priorities efficiently.
  • Experience in financial reporting and transaction processing.

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