Overview
Position Overview
The Client Service Associate (CSA) plays a critical role in the daily operations of the firm, serving as a point of contact for clients and providing essential administrative and operational support to the advisory team. This role is dedicated to delivering a high-touch, seamless client experience while ensuring that all back-office processes are executed with precision and in compliance with industry regulations. This role is part time at up to 30 hours per week.
Key Responsibilities
1. Client Relationship Management
- Serve as a point of contact for client inquiries, providing timely and professional responses via phone and email.
- Assist in the onboarding of new clients, including the preparation and processing of all necessary account opening documentation such as financial planning agreements, investment management agreements, ERISA forms, Investment Policy Statements, etc.
- Maintain accurate and up-to-date client records within the firm’s CRM (Advyzon) system.
- Monitor, reply /forward email communications
2. Operational Support
- Facilitate account maintenance requests such as journals, fund transfers, wires, ACATs, and address changes.
- Prepare comprehensive client meeting kits, including performance reports, agendas, and required disclosure documents.
- Monitor and track pending transfers and new account status, proactively troubleshooting any issues with custodians or third-party vendors.
- Assist in the execution of firm-wide mailings, newsletters, and client communications.
3. Compliance & Administration
- Ensure all client files and communications are maintained in accordance with SEC/FINRA regulations and firm policies.
- Support the firm’s leadership in gathering data for internal audits or regulatory reviews.
- Manage general office administrative tasks, including filing, supplies procurement, and document scanning.
Qualifications
Technical Skills: Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint). Experience with financial CRM software (Advyzon),Financial Planning Software (Right Capital), and custodial platforms (e.g., Schwab).
Soft Skills:
- Exceptional verbal and written communication skills.
- Strong attention to detail and a high degree of organizational skill.
- Ability to manage multiple priorities in a fast-paced, deadline-driven environment.
- A service-oriented mindset with a focus on building long-term client trust.
- Maintain client confidentiality of client materials, account numbers, and all other data to employees or their assigned Financial Advisor (IAR) at Collective Wealth Partners.
Competencies for Success
- Reliability: Demonstrates consistency in following through on client requests and internal tasks.
- Discretion: Handles sensitive financial and personal client information with the highest level of confidentiality.
- Problem Solving: Takes initiative to resolve operational hurdles and improve workflow efficiencies.
