Client Services Specialist

Position Summary:

The Client Services Specialist may support one or multiple Financial Advisors either face-to-face or remotely in various aspects of client/broker relations.  This includes, but is not limited to maintaining the contact management database for the Advisor(s), completing analytical and clerical duties and client assistance in regards to the brokerage account relationship. 

 

The Client Services Specialist will be responsible for maintaining and updating client contact information within the client contact management system, Redtail.  This system includes various types of information relating to the specific client as well as their total family relationship with the Advisor(s) and Central Investment Advisors.  Redtail allows the Advisor to track the number and types of contacts with their client base as well prospective clients that have been referred.  This system also allows the Client Services Specialist a mechanism to generate mass electronic communications with clients as deemed necessary by the Central Investment Advisors Marketing Specialist and/or the Financial Advisor(s).  It is expected that the Client Services Specialist will utilize this system for branch office organization such as updating the Financial Advisors' calendar to include appointments, tasks and client meeting notes.  The Client Services Specialist will be expected to maintain and complete workflow items as established and assigned by the Central Investment Advisors’ Assistant Program Manager and/or the Financial Advisor(s).   These duties as described above will be required for all offices that are being assisted by the Client Services Specialist.

 

Analytical duties that the Client Services Specialist will perform will include creating monthly management reports as assigned by Central Investment Advisors Management.  This may include tracking the number of appointments Financial Advisor(s) had during the month, the number of new accounts opened, the number of accounts transferred out, and the number of referrals received and made to the bank, etc.  It is expected that the number of management reports may grow in the future and the Client Services Specialist will be responsible for completing any new reports as they are assigned.  The blotter reports are required by the Financial Industry Regulatory Authority (FINRA) and ensures that the office is operating within FINRA’s rules.  The Client Services Specialist will also be responsible for creating and distributing periodic reports for specific clients at the direction of the Financial Advisor(s). 

 

Clerical duties that the Client Services Specialist will perform will include setting appointments, preparing general correspondence, making copies, ordering supplies, filing, processing incoming and outgoing mail, assisting in the completion of new account paperwork for both cleared and direct business accounts, answering the telephone, receipting & processing any checks or physical certificates received from clients, assisting clients with Individual Retirement Account (IRA) contributions and distributions through the broker dealer, track, monitor and process annual required minimum distributions for IRA clients that this applies, monitoring alerts with the broker dealer platform for any reorganization offers affecting clients or additional documentation requirements for new accounts or trades,  ensuring that client money movement requests are communicated and processed timely and accurately and other special assignments as needed.  The Client Services Specialist will also be responsible for maintaining any branch level files that are required by the broker dealer or by FINRA

 

The Client Services Specialist will be in contact with numerous clients on daily basis.  If the Client Services Specialist is registered, it will enable them to be able to perform a much more extensive realm of client related activities.  Once registered, they will have the ability to perform many of the same tasks as that of a Financial Advisor.  These duties include furnishing real-time equity quotes to clients, gathering and preparing financial plans, providing research materials to clients, creating and ordering hypothetical’s from mutual fund and variable annuity vendors,  and answering  non-advice related brokerage account questions. The Client Services Specialist will also be required to assist the client with address changes, update funding account information, dividend and interest payment verification, communicate the status of account transfers, communicate follow-up information on requests submitted to the broker dealer for processing, research and communicate cost basis information that is available in the branch office, mail copies of account documentation to clients,