Client Service Associate
New York, NY
The Horizon Group is seeking a proven and seasoned Client Service Associate to provide support and assistance to financial advisors of our client, a dual-registered Broker-Dealer and Registered Investment Advisor. This role is a combination of client service and operations focused on providing excellent service to both the advisors and their clients.
The position is an in-office, team-based role with a high level of on-going collaboration, interaction, and communication
- Facilitate new account set up at the custodial and broker dealer level; follow up on fund transfers from legacy custodian relationship
- Respond to and resolve client requests; complete necessary financial paperwork to execute client recommendations, change beneficiaries, establish trusts, etc.
- Ensure accurate completion of prospective and new client paperwork and set up systems.
- Maintain (CRM) database and client files (Filing, copies, data input)
- Research and follow up on any issues with the Broker/Dealer, Operations, and vendors.
- Review client accounts on a regular basis to ensure completeness and remediate found issues.
- Record and reconcile incoming assets to the appropriate blotter.
- Learn company product suitability guidelines, financial operational processes, and financial sales processes.
- Support client service functions for all teams as requested, such as servicing phone calls from advisors and custodians, coordinating projects, prioritizing advisor tasks and requests, account transfers, account updates, cash distributions, and following up on any other client related issues along with various other work assigned by financial advisors.
- Help with new broker onboarding and client account openings
- 4-year degree preferred
- 3 plus years industry experience as a client service associate
Series 7 and 66, or 7, 65, and 63 licenses with a clean regulatory record
- Working knowledge of FINRA and SEC rules and regulations required
- A professional phone presence
- Excellent customer service and communication skills
- Drive to provide exceptional care to clients and registered representatives.
- Experience working with Schwab and/or RBC is a plus.
- Experience with My Compliance Office a plus
- Excellent written and verbal communication skills
- High attention to detail and ability to work in a fast-paced environment.
- Excellent follow-up and project management skills
- Comfortable and proficient using custodian and other industry technology such as
- Microsoft Office, Excel, Word, etc.
- Experience working with CRMs is a plus.