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The primary function of the CSA is to provide a wide range of sales, service, administrative and relationship management support to assigned wealth advisors and investment professionals across Registered Investment (RIA), Broker-Dealer and Trust or team of same and to be the first point of contact for clients or prospects.
Acting as the liaison between the investment professional/client and the PWM middle office functions/operations (i.e., client services, trading, portfolio management, billing and fee support, performance and trust), this position requires strong relationship management skills in order to build strong, successful partnerships between all parties.
Management support would include managing investment professional’s appointment schedules, pre-appointment preparation (pre-call planning) and post appointment follow-up (review scheduling). Participate in client meetings, manage communication through telephone and email, prepare presentations for clients, transaction processing and product/marketing support.
Company is an ultra-high-touch bank that provides extraordinary client service. We believe that one-on-one interactions build lasting relationships. We move quickly to serve our clients’ needs so that their financial transactions are handled with ease and efficiency. Client trust and security are paramount in our line of business. Ultimately, our goal is unsurpassed client satisfaction which will lead to personal referrals – our number one source of new business.
We recognize that our competitive advantage starts with our people and our culture. At Company, we work hard and move quickly as a very coordinated team. If you are looking for an opportunity to grow and contribute in a fun, fast-paced environment, Company is the place for you. We have exceptional people focused on providing extraordinary service.
Provide sales and service support (i.e., create, review and distribute various client reports and presentations or assist with client events); may be for current clients or prospects.
Research and respond to client inquiries and/or problems of high net worth clients, including account change requests; escalate issues as appropriate.
Assist with phone calls to prospects and clients, schedule all client-related appointments, coordinate client mailings/invitations to company eveProvide general administrative support such as managing logistics and refreshments for meetings, answering incoming telephone calls, managing incoming emails/faxes, filing, submitting business expense requests, schedule appointments and distributing mail.
Place equity, mutual fund and fixed income trades for brokerage clients, process money market movements or account maintenance at custodian and in CRM system. As necessary, utilize custodial websites, CRM client database and APX portfolio management system. Produce reports upon request.
Create and maintain client files in CRM and other systems or hard-copies (then pass on to Operations team). Assist with completion and transmission of transaction documents including: preparing transaction documents, reviewing completed/signed transaction documents to ensure compliance and accuracy, establishing and maintaining file folders, maintaining document copies, processing investment/bank transactions, and communicating with operations/billing/internal departments/Company Securities Company and other custodians with regard to transaction processing follow-up
Client interaction: act as conduit between client and PWM operations, create business plans geared toward client growth, build relationships with clients, initiate daily contact with clients and make frequent office visits, introduce technology and services to client as appropriate, cross sell PWM’s products, services and/or technology, monitor client investing and understand their rationale or intentions/goals.
Perform duties & responsibilities specific to department functions & activities or as assigned by supervisor.
Participate in the development of department policies and/or procedures and assist with client specific projects as assigned.
Responsibilities include the following: 1) adhering to and complying with the applicable, federal and state laws, regulations and guidance, including those related to Anti-money laundering (i.e. Bank Secrecy Act, US PATRIOT Act, etc.) 2) adhering to Bank policies and procedures, 3) completing required training, 4) identifying and reporting suspicious activity to the AML Officer, and 5) knowing and verifying the identity of any customer(s) that enters into a relationship with the Bank.
At least 3 years of related experience; BS/BA degree or equivalent experience preferred
Exceptional interpersonal skills to interface with clients, prospects, custodians and colleagues
Excellent customer service skills
Use of considerable tact and discretion when dealing with client or sensitive data
Ability to work independently under minimal supervision
Excellent organizational, communication (both verbal and written), and client relationship management skills (whether interaction is in person, over the telephone or via email)
Exceptional problem solving proficiency
Ability and desire to work in a fast paced sales oriented environment (maybe demanding or unstructured work environment)
Proven ability to handle pressure, multi-task and prioritize work at all times
Outstanding skills using personal computers in a Windows-based environment (including Microsoft Office Suite)
Excellent attention to detail and high degree of accuracy and consistency
Series 7 and 63 licenses preferred, Series 65 or 66 licenses may be required
Working knowledge of securities industry, broad understanding of capital markets, their practices on how products trade, settled and are invested
Knowledge of Bloomberg, APX or custody system a plus
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