Client Service Associate

Client Service Associate | Houston, TX

Houston investment advisor seeks motivated Client Service Associate to enhance the client experience by servicing clients and providing operational/administrative support to Financial Advisors.

Responsibilities:

Prepare/submit onboarding and investment paperwork to clients by request of advisor

Ensure investment data is posted, transferred or input into CRM

Submit paperwork to the custodian; follow up with custodian to ensure accounts have been put into place

Maintain prospectuses hard copy and digital versions for variable products including, annuities, REITS, alternative investments

Answer any client questions/requests pertaining to their investments

Assist in maintaining the following client files in support of industry compliance requirements and audits: statements for 6 years, new applications for 6 years after the account is closed, confirms for 3 years, advertising and correspondence specific to client for 3 years

Ensure that all clients who should be taking RMD's including beneficiary IRA's are completed in a timely manner no later than December 1st of each year

Check that advisors are appropriately registered for states outside of Texas when needed

Develop BD training and education materials for financial professionals

Monitor websites to ensure advisor registrations are up to date

Liaison between broker-dealer compliance and company office

Review relevant BD regulations & keep abreast of regulatory changes & updates

Submit recommendations to BD

Prepare for branch audits

Vet all vendor requests and new product information for company use

Monitor/track compensation splits to ensure commissions are accurate

Review items needed for client annual review meeting

Requirements:

Bachelor's degree preferred; FINRA Series 6 or 7, 63, 65 or 66 required upon hire if not currently held

5+ years of financial service experience a plus

Knowledge of data bases and CRM systems; industry knowledge a plus

Client-focused and thorough with high attention to detail; ability to find solutions; strong level of confidentiality; self-starter and motivator; efficient, quick learner and tech savvy