Employee title: Client Relationship Associate
Date updated: 08/19/2019
Reports to: Ryan Gomendi – Financial Advisor
Summary of responsibilities
This position provides client support, assists in the day-to-day operations of the firm, as well as technical support to the advisors, including gathering client data, organizing and maintaining financial documents and using financial software programs to enhance client experience
- Excellent attitude and an extraordinary client service orientation
- Proficiency with computer programs, including MS Word and Excel, CRM, E-Money and Morningstar®
- Ability to interact with people across all levels of the business
- Attention to detail
- Ability to effectively prioritize workload and meet deadlines
- Sophisticated organizational skills, including physical resources (such as files, manuals, etc.) and nonphysical resources (such as calendars, appointments, events, client contact records, images, etc.)
- Familiarity with basic marketing concepts and practices
- A self-starter who can work independently
- BA or BS preferred
- Experience in the investment/insurance industry is a plus
- Completion of registered paraplanner (RP) program is a plus
- FINRA Series 6, FINRA Series 65 or FINRA Series 66 is a plus
- Meet with clients to complete paperwork; ensure all required forms are completed fully and accurately
- Sit in on Advisor-Client Meetings, gather and review personal financial information with client
- Review statements provided by clients
- Input updated values into appropriate planning software
- Generate reports, such as position statements, for advisor’s meetings with clients
- Identify process improvements and summarize for the advisors
- Maintain mutual fund, variable annuity, and stock recommended lists
- Maintain up-to-date information on model portfolio performance (e.g., through Morningstar®)
- Regularly review Commonwealth news items, technology updates, and e-mail communications; report pertinent information back to advisors
- Provide total office coverage in the absence of other staff members (answer phones, client walk-in, etc.)
- Conduct research on Morningstar® or COMMunity Link® as directed by the advisors
- Assist with client events as directed by the advisors
- Be available for travel to Gillette SRP office location for appointments with clients
- Be available to attend Billings and/or Gillette client events held semi-annually
- Liaison with all service providers including cable, internet, phone, security, etc.
- Being a team player to assist with any administrative duties as delegated to benefit entire team
- Provide administrative support, including:
- Maintain updated client contact records using CRM system, Right Capital, Riskalyze, and all other planning software
- Trade confirmations.
- Follow up on outstanding transactions with Commonwealth (e.g., transfers).
- Maintain up-to-date organized client files, including copies of all signed applications and forms, according to Commonwealth’s Compliance requirements.
- Prepare and send outgoing mail.
- Maintain appropriate turnaround time on incoming items (e.g., 24 hours for checks)
- Email clients with status updates on timely transactions