Client Service Associate

Client Service Associate to enhance the client experience by servicing clients and providing operational/administrative support to Financial Advisors.

Requirements

• Prepare/submit onboarding and investment paperwork to clients by request of advisor
• Ensure investment data is posted, transferred or input into CRM
• Submit paperwork to the custodian; follow up with custodian to ensure accounts have been put into place
• Maintain prospectuses hard copy and digital versions for variable products including, annuities, REITS, alternative investments
• Answer any client questions/requests pertaining to their investments
• Assist in maintaining the following client files in support of industry compliance requirements and audits: statements for 6 years, new applications for 6 years after the account is closed, confirms for 3 years, advertising and correspondence specific to client for 3 years
• Ensure that all clients who should be taking RMD’s including beneficiary IRA’s are completed in a timely manner no later than December 1st of each year
• Check that advisors are appropriately registered for states outside of Texas when needed
• Develop BD training and education materials for financial professionals
• Monitor websites to ensure advisor registrations are up to date
• Liaison between broker-dealer compliance and company office
• Review relevant BD regulations & keep abreast of regulatory changes & updates
• Submit recommendations to BD
• Prepare for branch audits
• Vet all vendor requests and new product information for company use
• Monitor/track compensation splits to ensure commissions are accurate
• Review items needed for client annual review meeting

Benefits

• Generous Paid Time Off
• 401k Matching
• Retirement Plan
• Visa Sponsorship
• Four Day Work Week
• Generous Parental Leave
• Tuition Reimbursement
• Relocation Assistance