Client Specialist I

Requirements

• To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required.
• Solid knowledge of account types and regulations
• Knowledge of banking and investment products required
• Ability to read and interpret documents such as procedure manuals, general business correspondence, journals, or government regulations
• In-person customer service and phone etiquette
• Effective time management skills with the ability to prioritize tasks
• Excellent written and verbal communication skills
• Attention to detail
• Education and/or Experience
• HS Diploma/GED
• 2 years' experience in financial industry preferred
• Computer Skills
• Microsoft Office, including Teams, Outlook, Excel, Word
• Adobe Acrobat
• Certificates, Licenses, Registrations
• License not required, but encouraged to attain within first year of employment
• Other Qualifications
• Ability to professionally navigate sensitive or urgent client situations
• Must display professional conduct and appearance
• Maintain client privacy and keep highly sensitive data confidential
• This role may involve additional responsibilities to support team and organizational objectives.
• Other
• Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Activities, duties and responsibilities may change at any time with or without notice.

Additional Information

It's fun to work in a company where people truly BELIEVE in what they're doing! We're committed to bringing passion and customer focus to the business. The Client Specialist supports two or more Financial Advisors and works to develop a partnership with their respective advisors to provide high quality customer service and achieve stated revenue and asset goals. Essential Duties and Responsibilities Client meeting preparation for Financial Advisors Client meeting follow up/document processing for Financial Advisors Review all paperwork for accuracy, completeness, and compliance Resolves paperwork and account issues with back-office operations and clearing firm Client service duties such as establishing new accounts, servicing existing accounts, and researching and resolving deficiencies in a timely manner Answer incoming calls Schedule appointments Preparing, editing and obtaining appropriate compliance approval on correspondence Responsible for adhering to policies and procedures related to regulatory compliance requirements and firm requirements Deposit checks and securities in accordance with broker-dealer guidelines Process Annuity and 1035 exchange paperwork Maintain and update CRM as needed

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