Client Service Associate - Independent Wealth Management Firm

Job Description

Job Description

Client Service Associate - Independent Wealth Management Firm

Clark Guilliam Bertsch Wealth Management team members deliver excellent service, skillfully supporting clients with their investment and wealth planning needs.

Work location: In office

FLSA Status: Non-exempt hourly

Full Time: Monday through Friday from 8 am to 5 pm Eastern, with a one-hour lunch break

Overview: The Client Service Associate delivers exceptional service to all clients.

In this role you will:

· Assist Financial Advisor(s) with providing service to clients via telephone, direct interaction and/or written correspondence.

· Schedule and prepare for client appointments.

· Establish and service client accounts, prepare forms, research account inquiries, enter security order tickets, and process asset movements.

· Execute various administrative functions for the Financial Advisor(s) including, but not limited to, assisting with marketing-related activities; and establishing and maintaining files to meet the firm's regulatory requirements.

· Establish and maintain record keeping necessary to support efforts to service and grow client relationships.

· Follow up to ensure completion of all tasks.

· Support the team as needed.

· Manage administrative functions such as, but not limited to, managing office supplies, lunches, and mailings.

Required Qualifications:

· Minimum of 5 years of experience in client support ideally in the financial services industry. Relevant experience can be demonstrated through any of the following: prior work experience, professional training, military background, or educational qualifications.

· Client service oriented.

· Professional presence, strong attention to detail, and excellent written and verbal communication skills. Good listening and processing skills.

· Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills.

· Ability to prioritize and efficiently meet deadlines in a dynamic and complex environment.

· Desire to learn and grow with the organization.

Desired Qualifications:

· Series 7, 63, 65, or 66 licenses. Insurance license.

· Database experience and comfort learning new technical skills.

· Self-motivated, reliable, and tenacious, with the ability to work efficiently.

· Ability to work independently as well as collaborate effectively in a team setting.

· Positive and solutions-oriented mindset, assuming good intentions of others.

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

This position is not eligible for Visa sponsorship.

Pay range based on previous experience.

Benefits

Clark Guilliam Bertsch Wealth Management provides all eligible full- and part-time employees with a comprehensive set of benefits designed to protect their physical and financial health and to help them make the most of their financial future.

· PTO

· Paid holidays according to the Securities and Exchange schedule

· 401(k)

· Health Insurance

· Dental Insurance

· Life Insurance

· Disability Insurance

We Value Diversity

At Clark Guilliam Bertsch Wealth Management, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Drug and Alcohol Policy

Clark Guilliam Bertsch Wealth Management maintains a drug-free workplace.

Investment products and services are offered through Wells Fargo Advisors Financial Network, LLC (WFAFN), Member SIPC. Clark Guilliam Bertsch Wealth Management is a separate entity from WFAFN.