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Company is a small, quality SEC registered investment advisor and financial planning firm serving local and national clientele. We pride ourselves in our commitment to assisting clients in reaching their financial goals in a way that always puts the client's interests first. We consistently deliver a high level of service and responsiveness. We address a broad spectrum of client concerns including investment planning, retirement planning, tax planning, education funding, insurance planning, asset protection and estate planning.



Position Summary:

Serve as a primary contact for clients. Provide clients with excellent service and a high degree of responsiveness with the objective of developing and maintaining a superior level of client satisfaction. Develop analyses and materials for periodic client reviews. Process new accounts, transactions, and asset transfers. Assist financial advisors in business development activities.

Meet, greet, and welcome clients and guests to our office. Perform general office and administrative functions.





Duties and Responsibilities:

• Process account activity and implementation of financial planning recommendations for existing clients. Coordinate onboarding of new clients including collection of information and processing applications. Prepare portfolio proposals, transfer forms, account changes, and related documentation. Follow up to ensure that transactions and changes are completed accurately on a timely basis.

• Create analysis, documentation, reports, and agenda in preparation for periodic client review meetings. Coordinate with financial advisors to ensure that we are fully prepared to meet and exceed client expectations. Perform post-meeting communication with clients, assigned activities, digital filing/retention of documents, and update to client relationship management (CRM) database.

• Respond to routine client inquiries and administrative needs such as the forwarding of forms, obtaining duplicate statements, address changes, and resetting passwords.

• Provide in-person and internet based training tutorials to clients regarding their use of online portfolio access applications.

• Schedule and confirm in-person and Zoom appointments with clients and prospects via phone, text, email and written correspondence as appropriate. Utilize CRM to manage the office calendar and to capture conversations, notes, documents, and important information relating to clients and prospective clients.





• Meet and greet visitors to the office. Answer, screen and direct incoming phone calls. Review email and text messages from clients, prospects, and vendors. Ensures that the company team is aware of communications that require follow-up.

• Assist in the administration of financial education programs including live and recorded webinars, in-person workshops. Maintain accurate website and social media listings of events. Confirm registrant attendance prior to the event. Contact attendees subsequent to event to schedule follow-up phone calls, zoom meetings and in-person meetings.

• Assists in digital marketing, maintenance of company website and social media sites, and providing administrative support for marketing programs such as email campaigns, blogs, and newsletters.

• Perform general office and clerical tasks including filing, data entry, operating and maintaining office equipment, (fax, copy, scanner, printer, postage meter, etc.), ordering supplies, and occasional local errands (bank, post office, etc.).



Requirements:

• High school diploma or equivalent. Associate degree a plus.

• Securities licenses are a strong plus. Securities industry experience a plus.

• A minimum of three years of office experience with one year of client/customer

service.

• Excellent communication and interpersonal skills. Demonstrated experience handling client needs with tact and dlplomacy including ability to quickly maI‹e people feel relaxed and comfortable. Good telephone etiquette.

• Professional and neat personal presentation; friendly and pleasant personality.

• Attention to detail, ability to multitask, capable of working cooperatively with colleagues to support company objectives.

• Computer sl‹iIIs including proficiency with Microsoft Office 365; working knowledge of Excel and PowerPoint a plus.

• This position is subject to regulatory background screening requirements including finger printing, criminal background check and financial fitness standards.