CLIENT LIAISON/ACCOUNT SPECIALIST


Published
July 21, 2021
Category
Job Type
Work Hours
8:30-5:00
Street Address
500 Linden Oaks Suite 140
City
Rochester, NY

Description

AP has partnered with a Wealth Management firm in Penfield to secure a CLAS with a minimum of 4-8 yrs previous experience.  This position is full time and DIRECT HIRE with hours of 8:30-5 Monday through Friday.  Pay is $50-60K

Responsibilities

  • This position is responsible for providing administrative and technical support to the advisor and works closely with clients to ensure requests are answered in the appropriate time frame.

Advisor Support

  • Anticipate advisor needs and handle them proactively.
  • Meet with advisors regularly to assist with their outstanding action items.
  • Provide advisors with weekly updates.
  • Conduct research as directed by the advisor.
  • Regularly review broker-dealer news items, technology updates, and e-mail communications; report pertinent information back to advisor.

Account Responsibilities

  • Prepare and complete all paperwork correctly and submit within specified timeframe.
  • Develop a process that tracks all paperwork including outstanding items and pending business.
  • Maintain up-to-date organized electronic client files, including copies of all signed applications and forms, according to compliance requirements.
  • Upload client statements, correspondence, and agreements completely within five business days.
  • Place trades through at advisor’s direction, if licensed.
  • Rebalance client portfolios based on advisor’s criteria using appropriate tools (e.g., Model Management).
  • Follow up on outstanding transactions with broker-dealer and outside accounts (e.g., transfers).
  • Maintain appropriate turnaround time on incoming items (e.g., 24 hours for checks).
  • Maintain client cost basis information.
  • Use broker-dealer services and online trading (if licensed), efficiently.

Client Service

  • Use excellent customer service skills to build client relationships.
  • Answer phone and handle all client service issues within capacity.
  • Work with clients to complete paperwork; ensure all required forms are completed fully and accurately.
  • Respond to client questions and concerns professionally and in a timely manner.

Education

  • BA or BS in business

Experience

  • FINRA Series 7 and 63 securities registrations (preferred)
  • Experience in the financial services industry (preferred); experience working with National Financial Services processes and forms a plus.
  • Good understanding of financial planning concepts and terminology.
  • Knowledge of mutual fund, stock, bond, insurance, and annuity products.
  • Exposure to estate planning issues.

Knowledge, Skills, Abilities, and Other Characteristics

  • Proficiency with computer programs, including MS Word and Excel, CRM, Wealthscape℠, and Morningstar®.
  • Exceptional customer service experience.
  • Ability to interact with people across all levels of the business.
  • Ability to effectively prioritize workload and meet deadlines.
  • Ability to maintain attention to detail while under pressure, as well as to view details in the overall context of the circumstances.
  • Strong organizational skills.
  • Proofreading (or quality assurance) skills to ensure that own work is in accordance with advisor or Commonwealth criteria.
Apply
Drop files here browse files ...
Are you sure you want to delete this file?
/