Client Advisory Job Description

Client Advisory Job Description

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Client advisory provides oversight and direction to employees in the operating unit in accordance with Systems Partners Policies and Procedures.

Client Advisory Duties & Responsibilities

To write an effective client advisory job description, begin by listing detailed duties, responsibilities and expectations. We have included client advisory job description templates that you can modify and use.

Sample responsibilities for this position include:

Thorough understanding of policies and procedures as it relates to our Employee Perks offerings
Conduct periodic meetings to communicate policies and procedures
Responsible for upholding corporate policies and procedures
Contribute to ad-hoc strategic projects the ongoing review and update of applicable KYC policies and procedures
Always understands each client’s financial circumstances, investment objectives and financial goals
Has and maintains a thorough understanding of the current market and of the Firm’s products and those of its strategic partners
Project management for client mandates which requires liaising among internal areas including analytics, modeling, and portfolio management
Assist in agenda and material preparation for Wealth Management meetings and conferences
Maintain and reconcile monthly headcount planning reports
Provide daily support to CAPS Management regarding various inquiries, issues, troubleshooting

Client Advisory Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Client Advisory

List any licenses or certifications required by the position: CPA, JD, CFP, PMP, MBA, CFA, CTFA, MBB, BB, LEAN

Education for Client Advisory

Typically a job would require a certain level of education.

Employers hiring for the client advisory job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Collage Degree in Business, Management, Accounting, Education, Finance, Economics, MBA, Graduate, Law, Communication

Skills for Client Advisory

Desired skills for client advisory include:

Morgan Stanley systems and procedures
Excel and PowerPoint
Microsoft Word
Word
Essential systems
Essential systems to assist in trade execution
Policies and procedures
Wealth Management and contact center environment
Applicable compliance rules and regulations and firm policies
Changing risk and insurance market conditions

Desired experience for client advisory includes:

Listen to client requests and take measurable steps to complete tasks
Providing input where required on compliance matters to relevant business areas and committees
Experience of Compliance advisory
10 + years of Financial Services experience preferably in the Wealth Management and/or Private Banking business
10+ years working with Wealth Management solutions and services in a consultative role
5+ years managing staff including managers and individual contributors

Client Advisory Examples

1

Client Advisory Job Description

Job Description Example
Our innovative and growing company is hiring for a client advisory. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for client advisory
  • Meets with GFCC & LOBS to discuss issues, trends
  • Oversees plans and directs all activities for the Private Client Advisory business in Orange County
  • Participates in developing objectives and strategic direction for location or market that meet Business objectives
  • Monitors and reports on progress toward objectives
  • Oversees development and monitoring of financial planning, and pricing of products and services
  • Addresses specific sensitive or complex client needs
  • Oversees client interactions and communications
  • Develops referral sources for self and team
  • Identifies and researches potential for community or market expansion
  • Develops sales goals for new business
Qualifications for client advisory
  • Proven ability to think strategically and to successfully implement tactically
  • Prior experience influencing sales leaders, sales people and functional partners (Ops, Tech, Compliance, Legal, Finance)
  • Oversees communication strategies and identification of prospective clients/business
  • Prepares proposals and makes sales presentations
  • Displays a balanced, cross-functional perspective, liaising with internal constituents to improve efficiency, effectiveness and productivity
  • Individual must hold current Series 7, Series 31, and Series 66 (encompasses 63 and 65)
2

Client Advisory Job Description

Job Description Example
Our company is searching for experienced candidates for the position of client advisory. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for client advisory
  • Arranging travel schedules
  • Submission of expense reports
  • Developing a deep understanding of the business
  • Professional in your attitude
  • Able to treat fellow employees with courtesy and respect
  • A self starter able to learn quickly
  • Educated to Bachelor or Post Graduate degree level, or have the equivalent experience or qualifications
  • Able to pro-actively manage matters with the support of a Supervisor
  • Able to adapt to changes as necessary
  • In possession of a proactive approach to projects and responsibilities
Qualifications for client advisory
  • Ability to understand complex issues and navigate/escalate effectively
  • Previous internship in financial services
  • Manage a team of 7 Client Onboarding Advisors that supports the relationship onboarding process for various account structures
  • Act as Subject Matter Expert to provide advice to Front Office and the team related to account opening including customer profile, KYC, client due diligence, documentation requirements and data maintenance to minimize error / rejection rates and ensure effective client onboarding processing
  • Assess and ensure the relevance and completeness of KYC information supplied by Front Office and able to perform appropriate due diligence checks and information searches various public sources to comply with bank standards of client onboarding
  • Support Front Office in client meetings, where required
3

Client Advisory Job Description

Job Description Example
Our company is growing rapidly and is hiring for a client advisory. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for client advisory
  • Monitor ICA Case Management outputs and work with them to make improvements
  • Establish and report appropriate metrics for ICA inputs, processes and outputs
  • Establish feedback mechanisms with partners providing ICA inputs and receiving ICA outputs (e.g., Onboarding, Client List Screening, Global Financial Crimes Compliance, Technology)
  • Establish and update ICA procedures and flowcharts
  • Distribute ICA work to the appropriate team member
  • Manage ICA system improvements and monitor system integrity (e.g., Client Incident Tracking Application)
  • Fulfill requests for information from business partners and external parties (e.g., auditors, examiners)
  • Case management and special projects as needed
  • Assist in implementing Metrics that Matter for our clients by configuring accounts, building surveys and evaluations, scheduling automated reports
  • Update ICA procedures and flowcharts
Qualifications for client advisory
  • Medium level of knowledge of investments, fiduciary relationships, estate planning, financial planning, capital markets, banking and operations usually acquired through formal education or related experience is required
  • Skills in negotiating, problem solving, delegating, leadership, and sales are required
  • College Degree or 5 years previous banking or other financial institution experience, including 3 to 5 years client support experience
  • BA/BS degree or a strong proven operations or risk management track record
  • Advanced degrees, certifications, and licenses a plus (e.g., MBA, CAMS, Series 7)
  • We use Microsoft Office and Salesforce.com daily
4

Client Advisory Job Description

Job Description Example
Our company is looking to fill the role of client advisory. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for client advisory
  • Managing the delivery of business improvement projects through to business as usual
  • Defining and implementing standardised business processes and supporting through to business as usual
  • Developing and delivering a suite of KPI’s for the delivery of consulting assignments
  • Knows where the resources are
  • Works with the CFO support team for the Client Advisory Center management team, partnering on monthly presentations to measure performance and serve as key liaison to the business
  • Work closely with the Wealth Management COO Group, providing monthly reporting on Home Office departments, and analyzing key expense areas as needed meeting monthly with multiple business partners
  • Execute monthly reporting for Account and Service fees, working closely with business management team and controllers on reporting and analyzing results, managing accruals and collaborating with branch operations
  • Assist in the Escalation and Reputation Risk process
  • Partner with the business, Legal, Compliance and Risk on client situations
  • Builds long-term financial advisory relationships with clients
Qualifications for client advisory
  • 3-5 years of experience at an asset management or consulting firm preferred
  • Knowledge of Custodial Institutional system is a plus (Schwab, Fidelity)
  • Day to day client contact, including but not limited to
  • Series 7 and 66 required (or 63 & 65)
  • Proven experience of identifying, defining and delivering business improvement initiatives within a large corporate environment
  • Insurance and/or claims experience will be beneficial
5

Client Advisory Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of client advisory. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for client advisory
  • Communicate effectively with Client Advisors regarding their trust, agency, or custodial accounts
  • Primarily responsible for working with the CAC Sales and Service’s groups, technology, compliance, risk, legal, product, to help drive the organization’s strategy to develop a new remote channel model
  • Serve as a strategic partner and trusted advisor to leaders across multiple business units
  • Understand the ‘market’ and strategic objectives of the business units, working with the business unit leadership on strategic workforce planning including
  • Define and execute programs and projects necessary to achieve the Talent strategy, including plans for communications and change management to create awareness and drive adoption
  • Collaborate with our India based HR team to ensure seamless strategic direction and leadership updates to business leaders for professionals located in our India offices
  • Oversee complex employee relations issues, effectively managing risk, working with the Client Advisory leader, Legal function, and Global HR Leader where appropriate
  • Lead or mentor other team members including those who are not direct reports as applicable, especially within project context seeking to upskill and cross-train wherever appropriate
  • Play a key role in maturing the Talent Advisory COE by bringing in process excellence and innovation and driving consistent HR practices across all clients
  • Work on complex high-profile mandates in the financial industry with regards to balance sheet, evolving market structure, capital markets, risk management and strategic issues
Qualifications for client advisory
  • Ideally you will be degree qualified in Economics, Business Studies or similar
  • 5 -10 years of experience within Financial Services, preferably within a mass affluent channel
  • No licenses required
  • Strong ability to analyze problems, with attention to detail
  • Experience in a leading financial institution with a proven track record in the training development/training delivery space / KYC business space
  • Ability to solve problems independently, with detailed research and analysis, and present results

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