Client Service Associate

Essential Functions and Duties:

o   Notifies trading team of trades/deposits.

o   Completes planning memo and tasks in a timely fashion and keeps Salesforce data updated and live.

o   Direct business submission; App Complete submissions; PIPS/SWPS; POA Affidavits for advisory accounts.

o   Completes E-blotter for all checks and security certificates and maintaining copies of checks and certificates in a compliance file.

o   Prepares and processes investment account applications, proposals, and other investment-related forms.

o   Prepares RIA kit for each new prospective client.

o   Processes and maintenance of SBLOCs.

o   Updates Opportunities report daily for pending, not submitted, and completed investment activity.

o   Updates advisors weekly on the opportunity report.

o   Tracks and submits annual client retainer fees.

o   Completes Required Minimum Distributions – calculations, tracking, automating, and confirming.

o   Assist with all insurance servicing and new business.

o   Trains with a Senior CSA as needed.

o   Trains the CSAs as needed.

o   Participates in client meetings with advisor, as needed.

o   Attends advisor strategy and tactical kick off meetings.

o   Attending various conferences and workshops, as needed.

o   Attend all team meetings & retreats, including the annual planning summit (optional).

o   Serves as a back-up for all CSA’s.

 Experience/Education Requirements (Preferred, but not required)

o   College Degree or equivalent experience

o   SIE

o   Series 7, 66 license

o   Life and Health license