Senior Client Services Associate, Finance – Novato – $DOE

  • Posted Dec 05,2017
submit resume

Job Overview

Growing broker dealer seeking team player who has both investment experience as well as a pitch in work approach to join small close-knit group.

Providing direct support to the Financial Advisory team as well as Operations Manager, you will provide outstanding client service to the firm’s clients.

You will interact extensively with new and existing clients to provide service and support on a daily basis.

You are willing to learn and work together, enjoy bringing new ideas to the table, and have top notch customer service and communication skills.

In addition to your background in investment and financial planning, your experience with RedTail CRM and LPL broker/dealer experience is a huge plus.


You will:

  • Complete new account applications and contracts, obtaining all necessary documentation.
  • Monitor and track the transfer of accounts/assets.
  • Review and maintenance of client transactions and
  • Execution of client and firm tasks including asset transfers, money movement and preparation of
  • Answer telephones and email correspondence from prospective and existing clients
  • Research and follow-through of problems and inquiries until resolved.
  • Ability to relate to broker-dealer home office and other service providers in order to effect better service. Check and follow up with broker-dealer, insurance companies and other back offices for status on various client tasks.  Follow through to make sure intended results occur.
  • Be familiar with RedTail CRM, regularly update and monitor CRM system.
  • Deliver superior and prompt service to clients – troubleshoot problems, serve as liaison between the advisors and clients as needed.


You have:

  • 3+ years client service experience (financial services experience preferred)
  • Proficiency in Microsoft Office
  • Experience with various financial planning, RedTail CRM, portfolio management and document management software
  • Tax preparation experience highly preferred
  • Must be prompt, organized, detail-oriented, able to multitask and prioritize tasks and duties
  • Demonstrates a commitment to accuracy by delivering high quality, error-free work
  • Flexible team player who is highly adaptable to change and open to new ideas; collaborative and able to work effectively with others
  • Willingness and ability to resolve issues before they escalate.
  • Desire and ability to work successfully in a small company environment

Excellent hours of 9-5.  Hire contingent upon passing finger printing and background check.