Senior Client Associate - Charlotte, United States - TrinityPoint Wealth

Description

Job Summary:

We are seeking a highly motivated, experienced individual who will play a critical role in supporting our wealth management team and ensuring exceptional service to our clients. Your primary responsibility is to assist our financial advisors and maintain client relationships by providing administrative and operational support. You will work closely with clients to address their financial needs, execute day-to-day transactions, and ensure a positive client experience. This is a full-time, in-office position in Charlotte, NC. Office hours are typically 8:30 AM to 4:30 PM, Monday to Friday, but may require some evenings.

Key Responsibilities:

• Client Relationship Management: Build and maintain strong relationships with clients by providing excellent customer service and acting as a primary point of contact for client inquiries.
• Account Management: Assist with opening, closing, and managing client accounts, including processing account paperwork, transfers, and account maintenance.
• Client Onboarding: Help onboard new clients by collecting necessary documentation, facilitating the completion of client agreements, and ensuring compliance with regulatory requirements.
• Client Communications: Communicate with clients to address inquiries, provide account updates, and respond to service requests promptly and professionally.
• Financial Planning Support: Collaborate with financial advisors to gather client financial information and assist in financial planning processes.
• Documentation and Record Keeping: Maintain accurate and organized client files, ensuring all documents are up-to-date and in compliance with regulatory requirements.
• Trading and Transactions: Execute trades on behalf of clients and assist with trade settlement, account rebalancing, and portfolio management activities.
• Compliance: Ensure that all client interactions and transactions comply with regulatory guidelines and internal compliance policies.
• Reporting: Generate and distribute client reports, performance statements, and other necessary documentation.
• Administrative Support: Provide administrative assistance to financial advisors, including scheduling appointments, preparing meeting materials, and managing calendars.
• Technology and Software: Utilize relevant software and technology platforms for account management, reporting, and communication.
• Client Education: Help educate clients on the firm's services, investment strategies, and account-related matters.

Qualifications:

• Bachelor's degree in finance, business administration, or a related field (though not always required).
• Relevant experience in a similar role within the financial services industry or a client service-oriented position.
• Strong organizational and time-management skills to manage multiple tasks and deadlines effectively.
• Excellent communication and interpersonal skills to interact professionally with clients and team members.
• Attention to detail and accuracy in handling client documentation and financial information.
• Knowledge of financial products, investment processes, and regulatory compliance (e.g., familiarity with SEC and FINRA regulations).
• Proficiency in using office software, including Microsoft Office Suite, and experience with client relationship management (CRM) systems.
• Commitment to maintaining client confidentiality and upholding fiduciary responsibilities.
• Willingness to learn and adapt to changing industry regulations and firm-specific processes.
• Strong ethical standards and a customer-centric mindset.

Compensation:

• Competitive salary based on experience, with bonuses based on performance.
• Benefits including health, vision, dental, 401k and life insurance.
• Paid vacation