We are a growing and award-winning financial planning and wealth management firm. We are seeking an experienced (10+ Years) Client Service Manager who is passionate about helping clients stay on top of their financial to-dos and supporting financial planners working with high net worth clients. We have an opportunity in our main office located in Orlando, Florida. We are a fully independent, fee-only RIA serving about 800 client families and managing roughly $1.1 billion.
RESPONSIBLITIES:
Client Account Services
- Build good relationships with clients by providing top-notch customer service
- Complete onboarding process for new clients Process and oversee all account and asset transfers for clients
- Implement and/or oversee a variety of account changes, i.e., beneficiary changes, address changes, and re-titling of accounts
- Complete a series of processes when a client is deceased, divorcing, or getting married Process and track deposits to client accounts Manage withdrawals from client accounts
- Complete Required Minimum Distributions for applicable clients
- Work with estate planning attorney to make necessary account changes and obtain executed EP documents from attorney’s office Partner with our various custodians (Schwab, TD Ameritrade, and Annuity firms) to ensure work performed for our clients meets our service quality standards
- Track and notate all client service requests in CRM from initial request to completion Verify all requests are completed correctly, in a timely fashion, and to the satisfaction of the advisor and client
- Process account closures and client terminations Maintain accurate client contact database (CRM) Under advisor direction, perform certain “above and beyond” client support projects which may arise that exceed our normal services
Advisor Assistance
- Assist with various non-client support duties (preparation of marketing materials for firmwide use, i.e., IQC, newsletter, quarterly reports)
- Schedule appointments for Advisor and manage their calendar
- Complete special projects as determined by an Advisor
- Periodically update Advisor’s biography and submit to appropriate organizations If asked, maintain and scan articles written by Advisor(s) and maintain their CE credits
- Coordinate with other Client Services Managers and departments
- Communicate with the Financial Planning Department on certain account related matters, i.e., when trades need to be placed to free up cash, new accounts are opened, closed or re-titled, inform them if Advisor View program needs updating
- Work with Office Manager for any changes to emails, client billing, hard-copy clients, Christmas gift list, billing requests for tax prep invoices, etc.
- Work with other Client Service Mangers to deliver services in an efficient, effective, and consistent manner, being mindful of cross training and backing up coverage for one another
- Ensure that processes and procedures, forms, and entry formats in client database systems are similar
SEC Compliance
- Maintain client core files according to SEC and firm requirements
- Assist Compliance Officer with periodic audits
- Make sure that all forms are filled out in accordance with custodian requirements and SEC regulations
- Follow all firm guidelines as stated in Compliance Manual
- Ensure all clients receive ADV Part II, Privacy Policy, and Form CRS upon engagement
REQUIRED SKILLS/EXPERIENCE/ATTRIBUTES:
- 3+ years experience in related field
- Friendly and personable - able to engage clients
- Excellent verbal and written communication skills
- High attention to detail and accuracy – knows how to proof own work
- Ability to work with minimal supervision and enjoys problem solving
- Experienced in the use of Outlook, Word, Excel and customer relationship management (CRM) systems
- Enjoys teamwork, multi-tasking and is willing to take direction
- Ability to build the loyalty of staff and associates
- Strict adherence to confidentiality policy
- Adaptable, cooperative, and flexible with industry regulation and requirement changes
- Previous experience in investments and/or tax planning is helpful.
Why Choose Us? Excellent corporate culture with extremely low employee turnover. We have appeared in Investment News' list of the 75 Best Places to Work for Financial Advisors three times since 2019. Supported by a seasoned team and professional management Competitive compensation package including a base salary commensurate with skills and experience, excellent benefits, and performance-based yearly bonuses based on the quality of work done. We do not sell products, have no quotas, and do not compensate based on "production." Our firm believes our people and culture are our most valuable assets, so the successful candidate will be a great fit for the role and our culture.
