Client Service Associate

Home/Uncategorized/Client Service Associate

Client Service Associate

Our client is an award winning financial planning firm seeking a talented Client Service Associate for their Albuquerque, NM location. The Client Service Associate provides full support to one or more Financial Planners, ensuring and enhancing client satisfaction through direct contact with clients, vendors, and other operational employees, while adhering to regulatory standards.


  • Coordinate client meetings, assist Planner(s) with meeting preparation and participate in client meetings to walk through paperwork and to show you are an integral part of future client interactions
  • Greet clients in a professional and friendly manner; build and nurture the client relationship
  • Provide superior customer service by handling all incoming client requests and planner support vendors sent via phone, email or online
  • Prepare any appointment documentation, review, and mailing materials requested by the planner
  • Monitor client account activity, research and resolve issues, and follow-through to ensure client’s needs are met
  • Prepare and review all new account paperwork to ensure that documents are fully complete, conform to processing guidelines and are accurate
  • Provide a functional overview to clients for initial access to investment portals (EMAP, SchwabAlliance)
  • Monitor and initiate action on daily custodial alerts and assigned tasks
  • Execute investment buy and/or sell orders
  • Verify accounts are traded into the correct model and provide trade assistance as needed; track incoming rollovers, other investment funding, and transfers to ensure that all applicable accounts moved as expected
  • Create, maintain, and track an RMD list utilizing internal and custodian solutions
  • Run and send out performance reports using Envestnet, VEO, and ATLAS CRM
  • Analyze reports to determine the appropriate action to be taken on behalf of client accounts
  • Make proactive use of technology to streamline client interactions; including but not limited to: Online Account Opening Wizard on Schwab, DocuSign/eAuthorization, and EFS legacy DocuSign solution
  • Document key client milestones and/or important data into systems that will assist in future client interactions
  • Identify problems in a timely manner while complying with standard resolution policy, the established corporate process, and regulatory procedures
  • Provide insurance quotes and financial projections to AUM, contingent on licensing requirements
  • Must be able to prioritize work related to client assets and determine the next course of action
  • Maintain risk awareness and compliance with all corporate and regulatory standards
  • Comply with all continuing educational requirements
  • Support the firm’s initiatives, assist with any company-wide projects or activities, and attend functions as needed
  • Participation in projects, task forces, councils, and product rollouts to ensure CSA voice is represented
  • Open, review, and appropriately distribute incoming mail from USPS, FedEx, and UPS
  • Order supplies for the office via applicable approved vendors
  • Collaborate with Facilities to maintain building key cards, parking validations, and log
  • Ensure all office spaces visible by the client are tidy and organized
  • General office management and other ad-hoc duties as assigned


  • 3-5 years of financial services industry experience; preferably in a broker/dealer or registered investment advisor environment
  • Bachelor’s degree or equivalent industry experience preferred
  • Exceptional customer service skills
  • Good understanding of Finance and investment markets/securities
  • Must correlate industry related paperwork with appropriate company procedure, to process necessary transactions and determine the next course of action
  • Must be computer literate and proficient with Windows, Excel, Outlook, and Word
  • Must understand the roles of key business partners and build impactful relationships
  • Able to adapt to changes in the work environment, manage competing demands and work with frequent change, delays or unexpected events
  • Critical thinking, attention to detail, and multi-tasking skills required
  • Position requires a high level of confidentiality
  • Excellent communication and interpersonal skills
  • Dependable/punctual
  • Excellent organizational skills
  • Ability to work in a team environment is required

Salary range: $55,000 – $60,000

Advisor Business Solutions specializes in financial services including practice management consulting, staff recruitment, succession plan coaching, business growth and acquisition programs. Our clients include independent broker dealers, wealth managers, CPAs and investment management firms with range of $200 million - $5 billion assets under management. Contact Us or 562-439-4804.