Walnut Creek Office
The position is the primary point of contact for clients with regard to on-boarding, operational, & servicing issues. Associates have a good understanding of client planning issues & can step in to answer foundational questions regarding financial planning. Associates also maintain regular contact with clients. Service Associates have the ability to problem solve in answering client service requests.
- Financial Planning & Client Relationship Management
- Accurate Database Maintenance & Preparation Financial Planning Reports
- Client Meeting Preparation
- Client Communication & Meeting Scheduling
- Meeting Followup Work
- Financial Planning Data Entry
- Conduct New Client Orientation
- Scanning & Filing as Necessary
Tax Work Organization
- Sending Annual Tax Organizers
- Gathering Tax Forms & Preparing Tax Review Items
- Complete Tax Organizers from Notes (as necessary)
- Service Operations & New Client On-Boarding
- Managing Service Tickets
- Creating & Updating Client Account Profiles
- Preparing Account Paperwork
- Compliance & Supervision Submissions
- Client Service Requests
- Tracking Transfers
- Keeping Compliant Files
The Ideal Candidate:
- Minimum 5 years experience in the industry, preferably in an independent advisory office.
- Proficient in Windows/PC environment including Outlook, Excel, Word, & who is comfortable learning new technology/computer programs.
- Excellent people & interpersonal skills, who likes working in a team environment.
- Highly organized & detail oriented.
- Series 6 or 7 FINRA license preferred
- Registered Paraplanner or Certified Wealth Strategist designation a plus. (the right candidate could also be sponsored for these programs)
- Experience working in eMoney, Redtail, B/D Intranet environments also helpful.
Compensation package dependent on experience.
Please send covernote & resume to email@example.com