Job Description

The primary focus of a Client Service Associate I is to provide excellent follow-through and operational support to the brokerage service team in servicing and delivering on the needs of high-net-worth clients. As a Client Service Associate, you will have a direct impact on the client experience and are vital to the success of the organization. You will be a member of a dynamic team in a collaborative, client-focused environment utilizing your exceptional organizational, communication and problem-solving skills.

Responsibilities:

• Responsible for day-to-day operations and administrative support for one or more registered representative including answering inbound calls and email requests, scheduling and gathering client data for ongoing service processes
• Ensuring all paperwork and procedures for client requests are completed and adhere to compliance requirements
• Coordinating with internal operation departments to ensure client requests are fulfilled.
• Managing client deposits
• Maintaining data integrity across all systems and updating as necessary
• Researching client issues in cooperation with back-office operation partners
• Onboarding new clients, processing transfer paperwork, setting up new accounts while coordinating with the brokerage service team, custodians, and Black Diamond
• Other duties as needed

Requirements:

Education:

• High School diploma with a Bachelor’s degree highly preferred

Experience:

• 2-3 years of job-related experience required
• Financial services industry required
• Prior experience working in an office environment with a customer service focus helpful

Certifications:

• Notary designation a plus
• FINRA Series 7 preferred, but can be obtained within 18 months after start

Job Skills:

• Ability to prioritize in a fast-paced environment while maintain client focus and demonstrating attention to detail
• Enjoy collaborating and building positive relationships internally with co-workers and externally with clients and business vendors
• Excellent verbal and written communications skills a must
• Strong MS Word, Excel, and Outlook skills required; prior use of CRM system (Junxure) a plus.
• Strong desire for continuous self-learning and professional growth

Competencies:

Business & Technological Knowledge

Individual Experience

Core knowledge of the industry

Economic Landscape

Working knowledge of the economic landscape and impact on the Firm and clients

Data/Financial Acumen

Seasoned working knowledge of data and financial metrics relevant to the job

Business Operations

Strong working and core knowledge of Broker-Dealer Office Operations and purpose/relationship to other Firm operational groups

Technology - Junxure

Foundational to strong understanding of Junxure

Core Tech/Platforms

Able to effectively navigate Core Technology (Microsoft Office, Laserfiche, Custodian Sites, Task Management tools, DocuSign, and more) at an expert level

Technology – Black Diamond

Some knowledge and continued development of Black Diamond and assisting with ad hoc reporting requests

Compliance

Foundational knowledge of aspects of compliance as relates to job tasks in role and a growing working understanding of compliance requirements

Business Operations - Account

Learning the basics of Account Operations and beginning to execute related tasks

SO's - Brokerage

Able to facilitate brokerage offerings and process change requests

INTERPERSONAL EFFECTIVENESS

Teamwork & Collaboration

Actively practices teamwork and collaboration within and beyond the assigned team -- e.g., with Branch Ops or Investment Ops and other mid and back office operations

Work Environment

Contributes to a positive work environment; builds appropriate rapport with other team members

Balancing Priorities

Balances competing priorities and manages time pressures with composure

Trustworthiness

Instills trust across the Firm as someone who can be counted on for honesty, integrity and reliability

Professional Presence

Demonstrates commitment to professional behaviors - punctuality, attendance, appropriate office conduct, responsiveness, and follow-through

Communications

Presents oral and written communications in a concise and well-organized form

CLIENT FOCUS & ACCOUNTABILITY

Client Service

Directly supports and maintains client account operations. Demonstrates logical approach to gathering information to answer client questions. Partners with others to maintain client relationships through responsive, proactive client service. Serves as the primary point of operational contact for clients and brokerage teams. Effectively resolves and manages solutions to resolve client concerns and issues. Proactively engages with internal and external clients in order to exceed expectations.

Resource Coordinator

Has established working relationships with internal resources needed to deliver high quality work on a timely basis

Quality

Demonstrates accountability for own work quality; can quality control own work

LEADERSHIP

Vision & Values

Understands and consistently demonstrates full commitment to HYA & Mercer Advisors Guiding Principles

Talent Development

Proactively takes on new work. Actively seeks feedback from team members and Wealth Management leaders. Assists with training and mentors new employees as needed.

Innovative & Change Management

Seeks to learn and apply new approaches and processes. May begin to identify/suggest process improvements.

Firm-building

Represents the Firm in a professional manner

Driving Results

Understands and supports meeting KPI goals

Work Schedule: Monday through Friday, 8:00AM – 5:00PM.

Working Conditions: Professional office environment, daytime hours, working inside, standing, and sitting, will be assigned to a workstation, no heavy lifting over 10 lbs.