Client Service Specialist

This position will provide support to the Financial Advisor and Practice coordinator in the areas of administration, business processing and client service. The successful candidate must be reliable, results-driven and will possess strong clerical, organizational, communication, computer and customer service skills. This position requires a self-starter with a strong work ethic, superior attention to detail and excellent follow-through skills.

Previous sales assistance and/or financial services experience is preferable. The preferred candidate shall possess advanced proficiency and experience with CRM systems and MS Office products, Word and Excel in particular. A securities license, as well as a college degree, are not required but preferred.

Position Overview

This position is responsible for providing support to the Financial Advisor and Practice coordinator in the areas of practice administration, operational processing and coordination, client service, financial planning and marketing. The individual in this role is the first point of contact for clients, prospects and professional centers of influence, requiring exceptional customer service skills. The Senior Client Service Specialist must demonstrate exemplary business and professional ethics, possess exceptional levels of discretion and empathy, and exhibit a genuine interest in helping others and responding to clients or other inquiries regarding the business.

Position Requirements:

· Bachelor’s degree or equivalent work experience preferred

· Securities licenses preferred or the ability to earn within 12 months of hire

· Strong management skills with experience in a fast-paced business environment (financial services industry preferred)

· Ability to communicate with co-workers, clients, and various business contacts in a courteous and professional manner

· Ability to pay exceptional attention to detail orientation and ensure accuracy and completeness of all forms, letters, emails, etc.

· Work under pressure and meet deadlines

· Ability to handle critical client service issues in a timely manner with little or no supervision

· Ability to demonstrate confidence, assertiveness and willingness to take ownership of situations

· Ability to maintain a positive attitude

· Ability to take complete and accurate notes

· Ability to investigate and research situations

· Ability to maintain confidentiality

· Ability to make rule-based and analytical decisions

· Ability to manage several simultaneous tasks

· Ability to organize, prioritize, and reprioritize tasks

· Ability to be at work on a regular basis

· Knowledge of general securities industry terminology and practices preferred

· Skill in operating various office equipment including personal computer, fax machine, copier, etc.

· Skill in utilizing various software packages such as Microsoft Office, Outlook, CRM

· Skill in working with internet browsers

· Skill in verbal and written communications

Position Duties/Tasks:

1. Coordinate office workflow and review practice work methods and procedures for possible quality improvements and efficiencies and implement them when appropriate

2. Coordinate calendar for advisor and ensure the efficiency of the practice

3. Maintain all client files, records, blotters and logs

4. Maintain compliance files and ensure the branch office meets Securities America’s compliance requirements.

5. Prepare correspondence, reports and client agreements (including thank you letters and follow up responses to clients and prospects)

6. Gather and prepare information for client review meetings

7. Maintain client management contact system

8. Answer incoming calls (handle routine client requests or direct call to appropriate individual)

9. Handle routine clients matters (name and address changes, bank authorizations, check requests and re-orders, systematic withdrawals, withdrawal requests, enter trades under supervision of OSJ, balance or account information)

10. Process new business and submit to Securities America or product sponsor

11. Resolve client services issues or errors by contacting home office or product sponsor

12. Handle ordering and distribution of birthday, marriage, holiday cards. Arrange gifts for client which are no more than $100 in value

13. Provide marketing support for the office to include:

Sending marketing brochures to clients and prospects at direction of Representative(s)
Following up on referrals, leads, prospects or clients with letters or notes signed by Representative(s)
Handling unsolicited calls from prospects to schedule appointments or refer to Representative(s)

14. Run investment and insurance proposals for the advisors.

15. Ensure branch office meets Securities America's compliance requirements

Record all transactions on appropriate logs and blotters
Set up client files, both paper and electronic, correctly and obtain necessary information

16. Keep Advisor(s) licenses current, both securities and insurance

17. Assist with other duties and projects as assigned

The next section (Activities) is a deeper look at various activities that are frequent and/or routine occurrences on a day-to-day or month-to-month basis. The following list contains examples of routine duties and activities, however this list shall not be construed as an exhaustive representation of the functions or duties performed in this position.

Activities:

1. Processes all new and maintains account paperwork

Paying careful attention to detail and accuracy
Maintain internal client process and files including electronic filing

2. Processes account ACAT transfers

Reconciles securities positions
Updates cost basis information
Monitor residual transfers

3. Process new contributions and redemptions

Imputes checks received and maintains blotter

4. Creates client meeting update books

Attend client meetings and take extensive notes
Sends updated meeting letters/ email and to CRM

5. Handles miscellaneous operational activities

Beneficiary changes
RMD processing
Show clients how to access their accounts and read statements
Setting up and retrieving reports in portfolio management systems (SEI, Redtail, MGP, etc.)
All client requests

6. Handles Compliance issues

Maintains compliance Manual
Assists with audits
Maintains client correspondence
Advertising and Marketing approval
Continue education and annual compliance requirements

7. Manages and maintains all mail and email list for client newsletter’s, birthday, anniversary and monthly calling list

Sends out birthday and anniversary cards

8. Manages and Updates RedTail Client Record Database

9. Sends weekly or monthly email campaigns

10. Orders and handles office supplies

11. Sorts and Distributes the mail

12. Coordinates outside vendor’s

Appointments with Advisor
Sales materials and files

13. Writes down and maintains 5-10 most important and prioritizes them each day before leaving office

14. Develops and maintains written records of all above activities

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