Client Service Associate

Client Service Associate Reports to: SVP of Custodial Operations Status: ExemptWe are seeking a dedicated and proactive Client Service Associate to join our Client Service Operations Department and our esteemed wealth management team. The ideal candidate will play a vital role in ensuring exceptional client experiences by providing high-quality service and support.  Duties:Core Operational SupportProvide back-office investment operations support to advisors and clients through Salesforce tasking and custodian execution, including:New account openingsMoney movement requestsAccount transfers (ACATs and non-ACATs)Address changes and account updatesClient distributions and RMDsContributions and depositsGeneral account service requestsAssist in the onboarding of accounts as part of advisor and client Transitions to ensure a smooth, accurate, and timely onboarding experience.Document, track, and complete all assigned tasks with accuracy and attention to detail.Ensure all activities adhere to regulatory and firm compliance standards. Custodian & Internal CoordinationWork closely with custodial partners such as Fidelity, Pershing, Schwab, and Raymond James.Coordinate with internal teams to ensure timely and seamless processing across departments.Research and resolve account-related issues by collaborating with custodians, carriers, and internal stakeholders. Brokerage & Direct-Held SupportDeliver comprehensive servicing for complex advisory and brokerage (commission-based) relationships.Support the administration and ongoing maintenance of brokerage accounts, ensuring compliance with FINRA and custodian regulations.Assist advisors with brokerage-specific forms, disclosures, and documentation, ensuring accuracy and timely submission.Maintain strong knowledge of direct-held business, including carrier requirements, processes, and documentation. Complex Case Management & EscalationsApply critical thinking and problem-solving skills to resolve complex client inquiries and service issues.Manage client and custodian escalations, providing timely and satisfactory resolutions that enhance the client experience.Oversee complex account openings, ensuring full compliance with regulatory requirements and firm policies. Process Improvement & DocumentationHelp document, update, and maintain departmental processes and procedures.Identify opportunities to improve efficiency and streamline workflows.Demonstrate advanced proficiency in brokerage and investment operations to support ongoing refinement of best practices. Minimum Education:College degree Skills and Experience:3+ years recent financial services industry experience requiredSelf-starter and motivated to learnFamiliar and competent in the Windows suite of programs, along with Adobe AcrobatEmbraces working on a team Strong communication with clients both verbally and writtenFamiliarity with Salesforce preferred Experience servicing and opening accounts on a custodial platform requiredIndustry licensing (not required)Skilled in multi-tasking, follow-up, and managing priorities effectivelyStrong analytical, problem solving, and organizational skills  

Created: 2026-01-06