Client Service Associate Resume Samples

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ET
E Trantow
Emily
Trantow
22368 McKenzie Greens
Dallas
TX
+1 (555) 550 0793
22368 McKenzie Greens
Dallas
TX
Phone
p +1 (555) 550 0793
Experience Experience
New York, NY
Client Service Associate
New York, NY
Hammes LLC
New York, NY
Client Service Associate
  • May be asked to perform production implementations and solve production issues by working with development teams
  • Establish and maintain a positive and professional relationship with clients. Assist in setting & managing client expectations for completion of work
  • Volunteers willingly to assist others, or assist as requested, based upon workload
  • Expand knowledge of cash management service products to provide a support to GTBD sales team and Relationship Manager in order to offer new services to clients
  • Support all marketing and business development activities and assist in the development of investment plans and written proposals for prospects and clients
  • Makes recommendations for changes to procedures, and performs varied work, requiring some originality or ingenuity
  • Perform daily processing functions to support established workflows within service level agreements
Detroit, MI
Registered Client Service Associate
Detroit, MI
Schulist-Jaskolski
Detroit, MI
Registered Client Service Associate
  • Capacity to establish and manage a process under deadlines
  • Perform other duties, as assigned by Management
  • Take client's orders and provide market quotes within the guidelines of compliance and branch management
  • Provide marketing support to enhance business development
  • Works under little to no direct supervision while performing job duties
  • Provide administrative support to assigned Registered Representative(s) including, calendar management, travel arrangements, client and prospect presentations
  • Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment
present
San Francisco, CA
Senior Client Service Associate
San Francisco, CA
Gutmann-Mosciski
present
San Francisco, CA
Senior Client Service Associate
present
  • Participate in the development of department policies and/or procedures and assist with client specific projects as assigned
  • Maintenance and development of website working with Global Web team
  • Responsible for workflow, production and enhancements to, client review presentations and ad-hoc material requests, working with other members of the
  • Learn the business and products in order to assist Financial Advisors
  • Provide account information to clients and Financial Advisors
  • Managing stakeholders and taking on higher responsibilities as requested by the Client Service Manager
  • Perform duties & responsibilities specific to department functions & activities or as assigned by supervisor
Education Education
Bachelor’s Degree in Complexity
Bachelor’s Degree in Complexity
California State University, Northridge
Bachelor’s Degree in Complexity
Skills Skills
  • Strong interpersonal skills and the ability to deliver highly personalized service to a small group of high profile clients
  • Quick learner with strong attention to details and ability to think outside the box
  • Quantitative skills utilizing Excel & other MS applications. Ability to apply math and quantitative knowledge to resolve problems. Strong attention to detail
  • Ability to organize client deliverables & to deal with interruptions while meeting expected deadlines. Solid decision making ability
  • Grasps concepts quickly and demonstrates knowledge of basic technical skills, as well as related knowledge of necessary systems and procedures
  • Detail oriented and highly organized Ability to work in a fast-paced, dynamic environment
  • Ability to synthesize all forms of research into clear, thoughtful, actionable deliverables
  • Highly organized with strong analytical skills and attention to detail
  • Knowledge of financial markets and the financial planning industry (highly desirable)
  • Strong attention to detail and ability to work under pressure
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15 Client Service Associate resume templates

1

Client Service Associate Resume Examples & Samples

  • Establish new client accounts utilizing industry registration requirements
  • Review, update, maintain and service accounts by enforcing the documentation of client accounts to meet industry policies and regulations, and protect the firm, FA's and clients
  • Monitor and resolve issues related to regulations on client accounts to identify potential problems or status of high risk accounts and situations
  • Answer operational and compliance questions related to account registrations
  • Monitor reports related to account opening and maintenance issues and maintain accurate record that comply with meeting exchange and firm requirements; notifying FA's on actions concerning client accounts
  • Prepare industry-required mailings to clients
  • Serve as a liaison between branches and other home-office personnel in a call center environment
  • Provide support and direction regarding required operational processes, policies and timeframes
  • Evaluate client documentation received from branch/FA and/or client for processing and approval utilizing the document imaging and workflow systems
  • Educate FA's and home-office personnel on the use and maintenance of systems required for opening, maintaining, and documenting client accounts
  • Knowledge of MS Office sufficient to create letters, documents and send emails
  • Interpersonal and communication skills sufficient to interact with associates at all levels of the organizational as well as FA's, both orally and in writing
  • Use independent judgment on a variety of issues
  • Learn and interpret department policies, procedures and requirements
  • Use good judgment in responding to client issues
  • Participate in on the job training and other learning activities to develop knowledge and understanding of FINRA, state and other regulatory agency rules and regulations regarding client accounts
2

Client Service Associate Resume Examples & Samples

  • Activeclient interaction (high net worth individuals and trusts) via phone ande-mail
  • Resolveand respond to routine client inquiries related to the account relationship
  • Responsiblefor processing client deposits & withdrawals
  • Coordinatethe completion of all marketing material and presentation books, ensuring thatmaterials are accurate and deadlines are met
  • Preparepre-client meeting agendas, confirmation letters, post meeting follow upletters and any other miscellaneous correspondence
  • Contributevalue-added ideas to the business platform, as well as working on specialprojects as needed
  • Directsupport to Managing Director; including phone coverage, travel arrangements,calendar maintenance, monthly expenses, etc.; general support to the CapitalAdvisory team
  • Bachelor’sdegree
  • Experienceor general interest in the financial services industry
  • Strongproficiency with MS Office applications
  • Highlydetail-oriented self-starter with the ability to maintain a high standard ofaccuracy while working in a fast-paced environment under minimal supervision
  • Abilityto manage multiple tasks simultaneously and meet frequent, inflexibledeadlines. Strong organizational and time management skills
  • Excellentverbal and written communication and interpersonal skills
  • Self-confidenceand a proven ability to work well with highly capable and successfulindividuals
3

Financial Client Service Associate Resume Examples & Samples

  • High School diploma or equivalent; 2 years college or business school certificate preferred
  • 1-2 years clerical-related industry experience; investment industry experience preferred
  • Series 7 and 63 preferred
  • General understanding of the investment brokerage industry, securities regulations, and investment products. Understanding of operations system (i.e. forms and their purpose)
4

Private Bank Fiduciary Client Service Associate Resume Examples & Samples

  • Manage daily client transactions and inquiries accurately, within established deadlines and in accordance with firm and business policies and procedures, as well as applicable FINRA and other federal and state regulations
  • Assist clients with cash management, including the raising of cash for principal payments, capital call notices and bill payments
  • Coordinate and follow through on client requests for transactions, including wire transfers, standing payments and check orders
  • Research, follow-up and resolve client inquiries and issues through effective interaction with clients, advisors, product partners, operations teams and other staff in a timely and professional manner
  • Partner closely with a team of Trust Officers and Trust Administrators to ensure that clients’ service needs are met
  • Experience with a wide range of investment products preferred
  • Exceptional problem-solving skills
5

Asset Management Private Bank Latin Client Service Associate Resume Examples & Samples

  • Leverage internal teams to produce customized daily report aggregating complete performance and activity data for client relationship across many complex structures and a wide variety of products
  • Fulfill ad hoc client requests for information relating to transactions, performance, etc
  • Partner with senior banker to collect and maintain comprehensive KYC (Know Your Client) information and documentation, in accordance with JPM policies and regulatory requirements
  • Maintain record of client calls, meetings and other noteworthy activities in CRM, (Client Relationship Management) system
  • Coordinate efficient account opening and closing activities; assure collection of required information and documentation
  • Research, follow-up and resolve client inquiries and issues through effective interaction with clients, advisors, operating teams and other partners as needed
  • Assure adherence to corporate and regulatory control standards. Monitor daily transactions, flag and escalate issues, and follow-up to timely resolution
  • 5 years experience in the Financial Services and/or Private Banking industry
  • Effective communicator (both orally and in writing) who can positively engage and influence clients as well as internal stakeholders at all levels
  • Proactive, strategic thinker demonstrating good judgment and strong problem-solving skills
  • High proficiency with Excel and PowerPoint
  • Strong ability to work effectively as a member of a team
  • Series 7 & 63 licensure required
6

Senior Client Service Associate Private Banking Series & Delaware Resume Examples & Samples

  • Coordinate and follow through on client requests for products and services (i.e., open/close accounts, check orders, credit draw downs/pay downs, credit card requests, etc.)
  • Provide leadership to the team as needed or in the absence of the Service Manager
  • Provide subject matter expertise and assistance in training events
  • Participate in projects, UAT efforts and super-user groups
  • Attendance at market meetings, including in-person participation and presentation as appropriate
  • Monitor and lead control metrics and initiatives
  • Ability to make independent decisions about complex issues and solutions
  • Operate as an early adopter of change and act as a change leader among peers
7

Senior Client Service Associate Private Banking Series & Houston Resume Examples & Samples

  • Manage daily client transactions and inquiries accurately, within established deadlines and in accordance with firm and business policies and procedures, as well as applicable FINRA and other federal regulations
  • Act as an advisor to clients on banking related needs. Use deep knowledge of the relationship and available sales tools / reports to independently identify and execute cross-sell and up-sell opportunities
  • Coach and mentor new hires or less experienced employees
  • Attend relevant meetings and training sessions and ensure content is disseminated to the team
  • Lead client or Integrated Team communication efforts as needed for projects, change initiatives or other events
  • Ability to work effectively as a member of a team and provide leadership when needed
  • Excellent communication skills, both written and oral
8

Registered Client Service Associate Resume Examples & Samples

  • Reactive and proactive Client Support
  • Act as 1st tier resource for inbound general client calls
  • Act as primary point of contact on account service questions and inquiries using a variety of tools and escalate appropriately
  • Professionally represent Russell by promptly and accurately meeting the service needs of clients, vendors, and Russell associates
  • Research distributor questions or inquiries using a variety of systems and resources, both internal and external
  • Accurately communicate and enforce all established policies and procedures designed to provide consistent, quality service to clients and limit financial risk to Russell
  • Escalate operational, client service and technical issues as necessary
  • Demonstrating proficient Technical and Analytical Skills
  • Support internal sales team by creating proposals and performance reports and by fulfilling reactive client requests
  • Support the rollout, upgrades, and provide in depth knowledge of; Russell Portfolio Builder, Russell Proposal Generator, RussellLINK, web casts and other products as appropriate
  • Ensure all client requests; issues, resolutions, and other relevant information are documented in the CRM system to ensure open communication and effective reporting
  • Document and update processes and procedures necessary to meet client needs
  • Provide fulfillment services for clients
  • Effectively Contribute to Teamwork Environment
  • Escalate clients' calls to the appropriate regional service or sales team member when a sales opportunity is present or the inquiry requires more in depth expertise
  • Seek ways to improve and enhance products/processes
  • Assist with sales team initiatives from a subject matter expert standpoint
  • Back-up associates during absences and heavy workload periods
  • Support the sales team in the achievement of department objectives
  • Responsible for sharing insight from financial professionals and demands in the investment marketplace to help bring new products or concept to market, as well as timely communication
  • Complete a minimum of one full and comprehensive course on the topic of “sales”
  • Demonstrate a passion and skill in the art of selling
  • Maintain a Sales Associate and or Regional director as a mentor for a meaningful period
  • FINRA Series 7 and 63 & 65 (or 66) licenses
  • One or more years of client service and financial industry experience, including experience in an operations-based financial environment. Mutual fund experience is preferred
  • Superior telephone answering skills, including a high comfort level with working with customers to resolve issues over the telephone
  • Demonstrated outstanding client service and interpersonal skills
  • Excellent listening, written, and verbal communication skills; ability to follow written procedures
  • Capacity to establish and manage a process under deadlines
  • Time management and organizational skills; ability to manage multiple responsibilities and changing priorities
  • Demonstrated proficient analytical and technical skills- working with various software products
  • Demonstrated project management/participation skills
9

Senior Client Service Associate Resume Examples & Samples

  • Provide account information to clients and Financial Advisors
  • 5 or more years of industry experience preferred
  • Superior interpersonal, organizational and client service skills
10

Private Wealth Management Client Service Associate Resume Examples & Samples

  • Working with clients to ensure proper accounting opening procedures and documentation
  • Proactively resolving clients’ issues and concerns
  • Participating in ongoing platform reviews and design initiatives
  • Train and recruit future sales support
  • Comply with all industry rules and regulation and firm policies
11

Client Service Associate Resume Examples & Samples

  • Learning the business and products in order to assist Private Wealth Advisors
  • Taking and placing customer orders in brokerage and advisory accounts
  • Participating in ongoing learning and development to enhance support of Private Wealth Advisors' business
12

Senior Client Service Associate Resume Examples & Samples

  • Education: Bachelor’s degree or equivalent experience
  • 3+ years of business related experience preferred
  • Basic computer skills: Microsoft Excel, Outlook, Word and PowerPoint
13

Senior Client Service Associate Resume Examples & Samples

  • 5 years of business or banking related experience
  • Excellent written and oral communication skills to interact with both internal partners and external clients at all
  • Superior analytical/creative thinking skills
14

Client Service Associate Resume Examples & Samples

  • Assist Financial Advisor in reviewing client accounts
  • Answer phones, take messages, and respond to client requests, when appropriate
  • Take client's orders and provide market quotes within the guidelines of compliance and branch management
  • Communicate regularly with clients on items such as monthly statements; provide full customer service
  • Full knowledge of the Firm's operations systems
  • Interact with operations staff to address issues and problems
  • Type correspondence for Financial Advisor, following Firm guidelines
  • Investigate and resolve operational problems
  • Alert Management to policy violations, if applicable
  • Assist in the training of less experienced staff, at Management request
  • Obtains investment and product information for Financial Advisor
15

Registered Client Service Associate Resume Examples & Samples

  • Market products and services to clients and educate them on client services and there capabilities
  • Input orders and data within appropriate system and planning tools and complete appropriate documentation
  • Assist with the preparation and delivery of reports and other materials for client meetings
  • Ensure appropriate documentation is collated for new accounts and service requests
16

Registered Client Service Associate Resume Examples & Samples

  • Provide service to UBS clients by responding to clients requests and addressing inquiries to different areas as appropriate
  • Provide administrative support to designated financial advisor(s)
  • Process and follow up operational duties linked to new accounts, risk management, funds cashiering, marketing support and order entry, among other
  • Work closely with the branch operations team and bank service desks on resolving client inquiries
  • Market research
  • Interface with branch management team as required
  • Provide marketing support to enhance business development
  • Bachelors Degree preferred
  • Detail & Service oriented
  • 3-5 years Securities related experience
  • Full service brokerage experience preferred
  • To serve clients and provide operational and administrative support to Financial Advisors
  • Team player with good interpersonal skills
  • Ability to leverage resources and delegate effectively
  • Series 7 and 66 or 63 and 65
17

Client Service Associate Resume Examples & Samples

  • Bachelors Degree preferred
  • Detail & Service oriented
  • 3-5 years Securities related experience
  • Full service brokerage experience preferred
  • To serve clients and provide operational and administrative support to Financial Advisors
  • Must be fluent in English and Chinese
18

Client Service Associate Resume Examples & Samples

  • Coordinate responses to client requests by partnering with financial operations, research, risk, portfolio construction and legal/compliance
  • Assist onboarding process for new clients and work with relevant teams to establish appropriate client contacts and deliverables
  • Schedule, coordinate and act as key contact for onsite due diligence meetings
  • Participate in current and prospective client meetings, documenting discussion and leading follow-up on action items
  • Serve as the source of reliable information and client insight for other members of the client service team as they prepare client meeting materials
  • Assure that all commentary and client reporting is delivered on a timely basis
  • Build strong relationships with the clients
  • 3-5 total years of financial services experience, preferably with a focus on investment management, consulting organization, pension fund, endowment or foundation
  • Knowledge of & interest in alternative investing strategies
  • Excellent advocacy, negotiation and persuasive skills
  • Ability to work a flexible schedule to effectively coordinate across multiple time zones
  • Ability to perform multiple tasks in a fast-paced, team environment, under pressure
  • Strong understanding of Microsoft Excel and other office products required
  • Excellent organizational and project management skills
  • CAIA, CIMA, or Series 7 are helpful
  • BA or BS; strong academic record
19

Client Service Associate Resume Examples & Samples

  • Technical knowledge of investment industry to include contract provisions and renewal processing
  • Strong PC proficiency on various products including MS Office Suite, specifically MS Excel and MS Outlook
  • High school diploma required
  • Bachelor''s Degree preferred
  • Two or more years of related work experience in financial services and client service
20

Client Service Associate Resume Examples & Samples

  • Maintain financial records for trust and foundation client accounts; process distributions
  • Prepare and coordinate all client schedules for tax preparation
  • Oversee all class actions related to client accounts, including data gathering and correspondence
  • Assist with maintenance and analysis of company financial data
  • Utilize Excel to analyze and report on company financial and client data
  • Coordinate tax return intake and process; Assist with tax season tracking and preparation of supporting schedules; Process tax data and paperwork and work with preparers to streamline the process
  • Process client transcripts through IRS
  • Prepare financial schedules for Prospect meetings
  • Provide exceptional client service to external and internal clients
  • Adhere to ethics and employee code of conduct
  • Review activities within the job scope for sufficient controls to prevent errors and misstatements of financial results and to monitor for evidence of fraud
  • Maintain client paper files and electronic data files in a timely manner
  • Responsible for day-to-day administrative duties for the teams (e.g. pending follow up, scanning files, returning client phone calls and email, processing paperwork, etc.)
  • Complete various data entry projects with financial planning software, Excel spreadsheets, etc
  • General knowledge of financial services industry
  • Strong verbal and written communication skills are essential to effective client and team relationships
  • Desire to take initiative and add value in order to create a better client experience
  • Ability to organize time and perform tasks with minimal direction. Deadline oriented
  • Strong PC proficiency on various products including MS Office Suite, specifically MS Excel and MS Outlook; Advanced Excel skills preferred; knowledge of SalesForce a plus
21

Senior Client Service Associate Resume Examples & Samples

  • Knowledge of internet technology
  • Familiarity with prepaid markets and products
  • Strong computer proficiency with a solid understanding of Excel
  • Ability to work well in a team environment, establish long term credibility and develop good client relationships
  • Demonstrated ability to multi-task complex business issues and be extremely effective with time management
  • Person must be highly organized and responsible with a results oriented mind set
  • Ability to work with clients, customers and team members in a professional, business-like manner
  • Ability to clearly and effectively communicate processes and procedures via email and phone
  • Methodical
  • Motivated
  • Intuitive
  • Understanding of the product and processes that they support
  • Aptitude for utilizing reporting tools and applications a plus
22

Client Service Associate Resume Examples & Samples

  • Provide Clients/Prospects with unbelievable service and experience
  • Schedule all appointments
  • Maintain and suggest improvements for use of group calendars
  • Coordinate all information needed for Advisors to conduct appointments
  • Create Relationship Maps for Existing Clients
  • Capture and Communicate client intel with the team
  • Be willing to learn, use, and enhance our team's customized contact management system
  • Meet and Greet all incoming Clients/Prospects
  • Answer and handle incoming calls
23

Client Service Associate Resume Examples & Samples

  • Proactively manage diary, scheduling/coordinating internal and external meetings, conference calls and video conferences across multiple time zones; liaising with assistants from multiple teams across the firm ensuring planning for meetings, events and deliverables
  • Monitor email in-box, ensuring attention is drawn to important emails and that administrative matters are addressed
  • Answer phone calls, field messages, and deal with general inquiries
  • Organize team meetings / conferences and coordinate logistics, attendees, materials and communication
  • Schedule all international and domestic travel ensuring cost containment measures are adhered, prepare travel itineraries and prepare expense reports
  • Assist in the preparation of high quality PowerPoint presentations and Excel Spreadsheets
  • Review and handle incoming and outgoing correspondence
  • Handle and maintain confidential files in accordance with firm policy
  • Complete ad-hoc projects as necessary
  • Excellent organizational skills with ability to prioritize responsibilities as appropriate; identify problems and seek solutions
  • Ability to multi-task and prioritize with a professional, flexible and positive attitude
  • High level of accuracy and strong attention to detail
  • Proactive, able to work independently to ensure all tasks are completed in a timely and orderly manner
  • Team player, able to collaborate with team members to achieve firm goals
  • Volunteers willingly to assist others, or assist as requested, based upon workload
  • Minimum of 5 years' experience as an Executive Assistant in a fast paced, complex organization
  • Extremely proficient is MS Office; PPoint, Word, Excel, and Outlook
  • Must be flexible and have an ability to execute at atypical times (usually early) and work OT, when required
  • Strong verbal and written communication skills & ability to interact comfortably with individuals at all levels
  • Strong attention to detail and ability to work efficiently under tight deadlines
24

Senior Client Service Associate Resume Examples & Samples

  • Gather information and lead client through diagnostic procedures to determine source of error
  • Network and navigate within the organization to resolve issues
  • Focused on delivering premier service and owning issues to resolution
  • Exhibit exceptional follow up skills through direct communication with business partners and clients via multiple communication channels
  • Follow process and prioritize clients calls/emails
  • Escalate issues to next level of support when necessary
  • Provide back-up coverage for team members when staff is low or volume high
  • Liaison between clients and Operations for problem identification and resolution
  • Ability to manage multiple conflicting priorities and consistently meet deadlines/service levels
  • Able to communicate clearly and concisely in all aspects of the job and with multiple audiences in mind
  • Understanding of technical troubleshooting concepts and ability to work with technical staff and non-technical customers
  • Strong interpersonal skills, ability to resolve conflicts
  • Ability to effectively deal with diverse personalities and backgrounds
  • Effective telephone and writing skills necessary to interact both internally and externally with senior level professionals
  • Proven analytical skills. Proven ability to utilize logic and systematic processes to analyze and solve problems
  • Extensive knowledge of Commercial Card preferred
  • Proficient with TSYS and Service Station is a plus
  • Well-developed problem solving skills necessary to research and trouble shoot client issues
25

Wealth Management Client Service Associate Resume Examples & Samples

  • Maintains a strong knowledge of the various business applications critical to client and account servicing, including client¿s on-line tools, and seeks to expand knowledge of the latest enhancements to Northern Trust partner and client technology and/or systems in order to maintain highest standards of servicing
  • Strives to identify service efficiency and delivery enhancements, as well as process improvements, and periodically participating in business unit initiatives related to process, technology, and system enhancements when directed by CSS Management
  • 2-3 years¿ in financial and/or client servicing experience in trust or investment related role in Wealth Management are strongly preferred.Excellent communication and teamplaying skills are essential
26

Client Service Associate Resume Examples & Samples

  • Assist two Wealth Advisors in the Anaheim/Orange County market areas
  • Manage daily business operations in the advisors’ branch offices
  • Provide services to and interact with clients, prospective clients and other credit union members for their financial and investment needs
  • Assist with marketing efforts including seminars, referral contests, client events, etc
  • Identify potential sales opportunities from existing and prospective clients and assist Wealth Advisors with the executions
  • Manage clients and client data utilizing the designated CRM systems
  • Manage all forms of inbound/outbound communications in the advisors’ offices
  • Manage and grow business relationships between the wealth advisors’ offices and the various investment sponsors and partners
  • Manage and maintain compliance files and procedures
  • Demonstrated strong critical and independent thinking skills
  • Goal-oriented and strong desire for learning and taking initiative
  • Proven written and verbal communication skills; Ability to effectively communicate with internal business unit and work effectively across lines of credit union departments
  • Demonstrated proven inter-personal skills are required for effective internal and external communication results
  • Ability to handle multiple tasks of varying scope with competing due dates and deadline-driven
  • Demonstrated passion for extraordinary client services
  • Demonstrated problem-solving, decision-making and conflict-resolution skills
  • Detail-oriented and team player; willing to assume responsibility and take measured risks
  • Credit Union/Banking experience preferred
  • FINRA Series 7 & 66 licenses or equivalent preferred
  • CA Insurance License preferred
  • AA degree or equivalent
  • Minimum of 3-5 years of experience in the financial/banking/credit union industry and front-line servicing field, or B.A degree
27

Client Service Associate Resume Examples & Samples

  • Maintaining client confidentiality at all times and developing intimacy with client
  • Working as a partner with integrated team (Bankers and Investors)
  • Researching, following up and resolving client inquiries and problems through effective interaction with clients, bankers, investors, product specialists, operations areas, and other employees in a timely and professional manner
  • Researching potential (or actual) fraud situations, errors, and losses to ensure prompt and accurate resolution
  • Identifying cross-sell opportunities, and escalating to bankers and product partners in order to close or provide advice to the client
  • Opening and closing accounts, and ensuring necessary documentation is complete
  • Verifying and maintaining data quality as it relates to internal and external client hierarchy and account alignment
  • 2-3 years' experience in the Financial Services and/or Banking industry OR experience in Client Service role
  • Proven client management skills
  • Ability to work effectively as part of a team
  • Effective communication both orally and in writing internal and external to the Bank
  • Quick learner, ability to multi-task, manage pressure, prioritise and remain detail oriented
  • Available ASAP
  • Fluent in Spanish, French & English - Greek a plus
28

Senior Client Service Associate Resume Examples & Samples

  • Bachelor’s degree required. MBA/ CFA a plus
  • ANBIMA CPA 20 license required
  • Proficiency in Word and Excel
  • Ability to communicate with all levels of management, written and verbal
  • Ability to lead/guide with group facilitation skills
  • Must be able to assess and evaluate departmental strengths and weaknesses
  • Ability for independent judgmental/decision making skills
  • Ability to be flexible and able to meet changing business needs in a fluid, fast-paced environment
  • 3-5 years work experience in the financial industry is desired. Knowledge of institutional client environment is preferred
29

Chase Private Client Client Service Associate Resume Examples & Samples

  • Help manage relationship and account reviews; prepare timely and accurate performance reports
  • Knowledge of investments, insurance, bank products, financial planning and use of financial planning tools
  • Detail oriented, strong analytical/problem solving skills, ability to work in a team
30

Financial Client Service Associate Resume Examples & Samples

  • Strong verbal and written communication skills are essential to effective client relationships
  • Technical knowledge of investment industry to include contract provisions and renewal processing
  • The ability to manage multiple tasks and maintain the necessary attention to detail
  • Ability to organize time and perform tasks with minimal direction
  • Highly organized with strong analytical skills
  • Strong PC proficiency on various products including MS Office Suite, specifically MS Excel and MS Outlook
  • Able to work in a team environment
  • Bachelor''s Degree preferred
  • Two or more years of related work experience in financial services and client service
31

Client Service Associate Resume Examples & Samples

  • Prepare and customize materials for client and prospect meetings
  • Evaluate and prioritize Lazard's suite of products for distribution based on current product performance, comparative analysis and channel needs
  • Develop thoughtful, timely and interesting events, products updates, campaigns and calls to showcase Lazard's intellectual capital
  • Source and circulate important and timely industry articles, studies and reports (FundFire, FEMM, Non-Profit News, etc)
  • Create follow up emails with necessary whitepapers, strategy information etc to further business opportunities developed at prospect meetings (addition)
  • Channel Institutional team's requests appropriately, following up to maintain deadlines and ensure completion of tasks
  • Manage databases to enable team to track meetings, wins/losses, contributions/withdrawals for existing clients and prospect pipelines
  • Developing value added ideas, improving marketing and sales relationships, and improve product positioning
  • Relevant experience (2-5 years) in an investment management or consulting firm
  • Proven record of academic achievement, concentration in Finance, Business Administration, or Marketing preferred
  • CFA (successful completion or progress towards such preferred)
  • Keen understanding of sales and marketing process
  • Strong quantitative and qualitative reasoning ability (i.e., capacity to understand inner workings of investment strategies and present them in appropriate detail to an audience)
  • Self - starter with strong attention to detail and follow-through
  • Ability to listen and quickly synthesize information
  • Ability to think independently and formulate sound conclusions
  • Proven ability to multi-task
  • Excellent writing/editing skills
  • Strong verbal communications skills and comfort engaging all levels of firm management
32

Marketing & Client Service Associate Resume Examples & Samples

  • B.S. or B.A. in Finance, marketing or related field required
  • Minimum 1 to 3 years related experience
  • General knowledge of financial markets
  • Ability to organize/prioritize
  • Practical problem solving
  • Strong focus on providing exemplary client service
  • Excellent grammar and possess phone/office etiquette
33

Client Service Associate Resume Examples & Samples

  • Proficient in Spanish
  • Series 7 and Series 66
  • Strong computer skills, including Microsoft Office
34

Gcg-client Service Associate Resume Examples & Samples

  • Answer phones, take messages, and respond to calls when appropriate
  • Give clients market quotes
  • Utilize support information available through Firm training
  • Maintain files for Financial Advisors on clients and products
  • Provide follow-up with clients and operations staff
  • Obtain investment and product information for Financial Advisor
  • Perform other duties, as assigned by Management
  • At least 3 years' of financial industry experience
  • Min. Diploma qualifications
  • Independent and yet a strong team player
35

Private Wealth Management Client Service Associate Resume Examples & Samples

  • Arranging corporate travel for the Private Wealth Advisors
  • Managing expense travel reports for the Private Wealth Advisors
  • Planning and scheduling meetings and appointments for the Private Wealth Advisors
36

Client Service Associate Resume Examples & Samples

  • Support the Branch Manager administratively and all other branch management team, as needed
  • Assist in client issues and complaints and direct accordingly for resolution
  • Communicate and implement firm administrative and risk management guidelines and policies
  • Assist with Human Resources functions
  • Support components of the New Hire process and maintain records, approvals and orientation
  • Support and drive strategic firm initiatives
  • Coordinate and plan branch office business meetings and various activities for the branch manager
37

Client Service Associate Resume Examples & Samples

  • Identifies key prospects in sales territories. Communicates appropriate qualified leads to sales force and provides proactive follow-up when appropriate
  • Maintains current knowledge of Calamos investment management philosophy, industry events, and recent developments impacting clients and presents solutions in order to enhance the distribution business model
  • Bachelor’s degree required in business or other related discipline
  • Series 63 and 6/7 licenses preferred
  • 2 – 3 years experience in the financial services industry required
  • An excellent understanding of investment products is preferred
  • Must be able to work well in a team environment with the ability to learn new tasks quickly
38

Client Service Associate Resume Examples & Samples

  • Support and lead strategic programs to grow our business through reactive and proactive service initiatives
  • Support our customers at scale with one to many initiatives inside Facebook, Communities and Help Center in order to educate our customers on our Facebook products
  • Manage medium size projects within the region
  • Work closely with our partners and sales teams to support our advertising customers and deliver consultative support and education on our Facebook products
  • Gather client and partner feedback and identify trends to enhance our products, support processes, optimize workflows and improve operational efficiency in order to increase customer satisfaction and product adoption Perform data analysis and execute data-informed initiatives that will improve our customer experience and drive business growth
  • Work cross-functionally with sales, marketing and product teams within Facebook
39

Client Service Associate Resume Examples & Samples

  • Proven record of academic achievement, preferably with a concentration in Finance, Business Administration, or Marketing
  • Strong quantitative and qualitative reasoning ability
  • Self-starter with strong attention to detail and follow-through
  • CFA
40

Non Registered Client Service Associate Resume Examples & Samples

  • Handle all written correspondence to/from clients as directed by Financial Advisor
  • Enlarge upon sales opportunities from referrals by developing relationships with
  • BB&T employees
  • Continually recognize an employee's responsibility to represent the total firm in all client and outside relationships, and view every public contact as an opportunity to sell the total firm and all its services through appropriate referrals
  • Demonstrated attention to detail and strong organizational skills
41

Non-registered Client Service Associate Resume Examples & Samples

  • Prepare all seminar packets for the sales staff
  • Provide Branch Complex Manager and/or Financial Advisor with timely activity reports, referrals generated, and sales results for accurate record keeping
  • Previous experience in a support role
  • Financial Industry Regulatory Authority Series 7 and 63 and insurance license(s)
42

Client Service Associate Resume Examples & Samples

  • Provide primary administrative support for outside custody client relationships/accounts
  • Prepare new account packets and open new accounts & sub-accounts
  • Research client inquiries/problems and bring about resolution
  • Provide administrative support: answer telephones, prepare correspondence, maintain files
  • Provide integral support for client service teams and special projects as assigned/requested
  • Execute ad hoc bill-paying and set up recurring payments
  • Handle family office services processing as required
  • Research and resolve overdrafts
  • Manage all aspects of gifting – cash/in-kind/gift letters/Crummey letters
  • Manage clients’ quarterly tax payments and annual IRA contributions/RMDs
  • Assist with file coordination for quarterly admin & investment reviews
  • Assist clients with Portfolio Online
  • Execute first review of administrative reviews
  • Under direction of supervisor; may delegate work to Administrative Coordinator as appropriate
  • May assume some responsibilities described in Client Analyst role and/or business development
  • Demonstrate mastery of the following systems: TrustDesk, ORS system
  • Build a working knowledge of CSC
43

Client Service Associate Resume Examples & Samples

  • Assist the Executive Wealth Advisor in the Burbank/Glendale market areas
  • Manage daily business operations in the advisor’s office
  • Plan and execute client and/or social events, assist with departmental marketing efforts
  • Identify potential sales opportunities from existing and prospective clients and assist the Executive Wealth Advisor with the executions
  • Manage all forms of inbound/outbound communications in the advisor’s office
  • Manage and grow business relationships between the wealth advisor’s office and various investment sponsors and business partners
44

Client Service Associate Non Registered Resume Examples & Samples

  • 1-2 years clerical-related industry experience; investment industry experience preferred
  • Knowledge and strong focus on processes for providing exemplary customer service; includes customer assessment, meeting quality standards for service, and evaluation of customer satisfaction
  • Interpersonal skills and communication skills (both written and verbal)
  • Knowledge of administrative and clerical procedures and systems such as word processing, spread sheet applications, managing files and records, and other office procedures and terminology. Ability to organize/prioritize
  • General understanding of the investment brokerage industry, securities regulations, and investment products. Understanding of operations system (i.e. forms and their purpose)
45

Client Service Associate Resume Examples & Samples

  • Ability to exercise client confidentiality
  • Strong PC proficiency on various products including MS Office Suite, specifically MS Excel, MS Outlook and MS PowerPoint
  • Five plus years of related work experience in financial services and client service
46

Client Service Associate, Spanish Resume Examples & Samples

  • Become an expert in small business products and solutions, both free and paid
  • Engage directly with small businesses to resolve common inquiries Leverage insights from small business interactions to drive process, policy and product changes and increase customer satisfaction
  • Analyze quantitative and qualitative data sources, identify trends, and drive improvements to the small business experience
  • Collaborate with other members of the Small Business team to develop strategies for increasing product adoption within your market(s)
  • Consult and support the Facebook sales team that works with larger clients to improve Page engagement
47

Private Wealth Management Client Service Associate Resume Examples & Samples

  • Independently improving and streamlining the service model and operational procedures for the team
  • Providing excellent telephone coverage including ability to manage priorities; handling urgent calls with professionalism and good judgment
  • Navigating firm effectively and efficiently by interfacing with various departments on behalf of team to collect information, respond to requests and coordinate meetings
  • Superior interpersonal, organizational, and client service skills
  • Able to work independently
48

Client Service Associate Resume Examples & Samples

  • 1+ year of experience in the Financial Services or Investment Banking industry
  • Prior experience in facilities or property management, portfolio management, business analysis, financial operations or other specialized experience
  • Interest in career development
  • MBA or other Graduate-level education
49

Registered Client Service Associate Resume Examples & Samples

  • Recognize and meet the needs of clients by assisting with sales of investment products to properly qualified investment clients
  • Schedule appointments of properly qualified clients and potential clients for Financial Advisor as appropriate
  • Provide high level of service to existing clients consistent with the full development and maintenance of client relationship
  • Assist clients and sales staff with questions and problems relating to accounts and transactions
  • Handle all written correspondence, as directed
  • Prepare all seminar packets for sales staff
  • Keep clients and salespersons current on general information pertaining to investment products, yields, returns and market trends. Maintain knowledge of municipal issues and federal issues, as well as selected Mutual Funds
  • Provide Branch Manager and/or Financial Advisor(s) with timely activity reports, referrals generated and sales results for accurate record keeping
  • High School degree or equivalent education and related training
  • Series 7 or 11 and insurance license if needed to support Financial Advisor
50

Client Service Associate Sd Resume Examples & Samples

  • Positive attitude toward client relations to provide exceptional client service
  • Strong verbal and written communication skills are essential to effective client relationships
  • The ability to manage multiple tasks and maintain the necessary attention to detail
  • Ability to organize time and perform tasks with minimal direction
  • Highly organized with strong analytical skills
  • Able to manage time effectively and multi-task
  • Able to work in a team environment
51

Client Service Associate Resume Examples & Samples

  • Manage new client implementation process
  • Build and maintain client relationships aimed at client retention
  • Coordinate and direct client activities with other team members and assist as necessary
  • Maintain up-to-date familiarity of industry trends that affect the investment market
  • Perform monthly household accounting for family office clients
  • Complete weekly bill-pay for family office clients
  • Assist family office clients in a variety of functions tailored to meet the client’s specific needs
  • Understands the client’s organization and procedures
  • Understand the client’s overall business needs and identify value-added services that Mariner Wealth Advisors can provide
  • Track client cost basis
  • Coordinate and schedule appointments
  • Responsible for the day-to-day administrative duties of the office, including covering receptionist duties as needed
  • Adhere to ethics and employee code of conduct policies and, as appropriate, communicate the same to subordinates
  • Monitor all activities for evidence of fraud
  • Review activities within the job scope for sufficient controls to prevent errors and misstatements of financial results
  • Willing to go above-and-beyond to build a lasting client relationship
  • Highly organized with strong analytical skills and attention to detail
  • Two or more years of related work experience in financial services and/or client service
52

Client Service Associate Resume Examples & Samples

  • 2+ year of working experience within an Investment Management or Consulting firm
  • Solid quantitative and qualitative reasoning ability
  • Exceptional writing/editing skills
  • Proven record of academic achievement, concentration in Finance, Business Administration, or Marketing
53

Senior Registered Client Service Associate Resume Examples & Samples

  • Series 7 and 66 registrations are preferred for this position. Will consider candidates with industry experience who are willing to obtain their Series 7 and 66 in first 3 months. Potential for growth into a junior sales partner
  • Strong working knowledge in MS Word, MS Excel, MS Outlook is required
  • Prior assistant experience is preferred, but not mandatory
  • Ability to multi-task and make deadlines are key aspects of this position
  • Ability to work independently and in a team-oriented, fast paced environment is essential
  • Excellent interpersonal and problem-solving abilities are necessary. Position involves extensive institutional client contact. Individual will be involved in sales, research, trading and administration functions. Position involves interacting and building and maintaining relationships with clients, trading desks, analysts (internal and external) in US and intl. markets. Candidate will also be responsible for taking trade orders, reporting trades and handling all aspects of settling trades
  • Candidate must be articulate with excellent oral and written communication skills. Strong attention to detail and solid organizational skills are essential
  • Supporting an institutional salesperson and helping build relationships with current and new clients
  • Providing timely information to Portfolio Managers, Analysts, Traders and assistants at client firms
  • Managing administrative functions including account opening, trade settlement, client reporting; reviewing client account activity on a daily basis to ensure overall accuracy, proper settlement of transactions and reconciliation of sales commissions
  • Providing support by answering phones and managing internal projects. Handling client requests including gathering research materials (reports, financial models, presentations), setting up meetings and conference calls
  • Booking travel arrangements and preparing expense reports
54

Client Service Associate Resume Examples & Samples

  • Supports Consultants in all aspects of their business
  • Supports Marketing Associate by making presentation books, handling client requests, preparing quarterly performance reports for clients, answering the phone, and other duties as assigned
  • Handles client requests
  • Handle securities litigation for clients
  • Responsible for quarterly billing
  • Responsible for sending and receiving quarterly manager/attribution questionnaires
  • Responsible for collecting quarterly mutual fund commentaries
  • Prepare expense reports for Consultants
  • Responsible for assisting the Consultants in rebalancing accounts
  • Responsible for opening and closing of accounts and working with custodians
  • Coordinate sending out wires and receiving incoming wires
  • Monitor cash flows
  • Additional responsibilities and tasks as necessary
  • Experience in the finance industry
  • Proficient with Microsoft Office applications
  • Works well under pressure, with the ability to prioritize and manage multiple tasks
  • Ability to complete large amounts of work in short time frames
  • Takes ownership for work, always ensuring standards and deadlines are met and keeping others informed and up-to-date
  • Ability to collaborate on projects with other analysts
  • Openly shares information and own expertise with colleagues
  • Possess excellent team working skills
  • Demonstrates excellent attention to detail, and oral and written communication skills
  • Takes initiative in accomplishing agreed upon goals
  • Ability to anticipate the unexpected
  • Self motivated with an eagerness to learn
  • Have the desire, drive and creativity to find solutions
  • Self driven and results oriented
55

Client Service Associate Resume Examples & Samples

  • Field client inquiries and resolve service issues
  • Administer new client accounts, gather missing client information, and verify client documentation
  • Process and track account transfers
  • Respond to client questions regarding their account(s) with factual information
  • Assist clients with completion of account forms and processing of DocuSign envelopes
  • Handle repapering and ongoing account maintenance
  • Assist with Registered Investment Adviser conversion and reporting requirements including disclosures, record keeping, compliance procedures and custody requirements
56

Registered Client Service Associate Resume Examples & Samples

  • Assist in opening new accounts for clients ensuring that the client's needs are met while regulations are followed
  • May facilitate the appropriate receipt of checks or securities from the client according to procedures
  • Organize customer related files, correspondence, advertizing and sales literature files consistent with policies and procedures
  • Execute data entry, extraction and reporting using systems and applications to include Beta; Camp, ScottStringfellow.com Client accessible Website, Price Metrix, S&P Marketscope Advisor, Thompson One
  • May provide branch office operational supervision of 529 plans, annuities (1st level), check signing, general branch office items, gift log file maintenance, handwritten trade tickets, incoming checks & daily deposits, incoming correspondence, letters of authorization, new account paperwork, outgoing checks, outgoing correspondence, securities received and delivered log, syndicate file maintenance, third party research file maintenance
  • Bachelor's degree in Business Administration or equivalent education and related training
  • Five years of experience in a Sales Assistant role
  • FINRA Series 7, 63 or 66 and insurance license if needed to support Financial Advisor
  • Excellent customer service, communications, organizational skills with the ability to work in a high pressure high transaction volume position with firm deadlines
  • Demonstrated proficiency in standard computer applications such as Microsoft Office products
  • Series 9, 10 licenses
57

Client Service Associate Resume Examples & Samples

  • Relevant experience (2-4 years) in an investment management, consulting or sell side firm
  • Proven record of academic achievement
  • Preferred FINRA Licenses (Series 7, 66 and 31 will be required within 6 months)
  • Successful completion or progress towards the CFA is a plus
  • Self-starter with strong interpersonal skills and high level of natural curiosity
  • Strong attention to detail and a demonstrated ability to follow-through on complex multi-step tasks
  • Ability to listen, quickly synthesize information, think independently and formulate sound conclusions
  • Strong writing/editing and verbal communications skills
  • Comfort engaging all levels of firm management and investors
  • Excel and PowerPoint skills a must
58

Private Wealth Client Service Associate Resume Examples & Samples

  • High Net Worth Clients
  • Atlantic Trust Specialists (Wealth, Investment, Trust)
  • Mastery of TrustDesk and ORS systems
  • Working knowledge of CSC system
  • Strong organizational skills sufficient to complete work according to established schedule and timeframes, while accommodating given priorities
59

Client Service Associate Resume Examples & Samples

  • Perform a daily analytical review and settlement of margin ensuring all accounts are meeting the requirements
  • Set up new accounts for clearing and execution by deciding the necessary fields to be added on the operational templates
  • Liaise between Client and Front Office on all Client inquires and issues
  • Notification of deliverable positions based upon product knowledge and specifications
  • Execute Foreign Exchange conversions with FOREX traders
  • Determine acceptable collateral from Clients and pledge to the exchange based upon collateral optimal decision making
  • Multi-tasking providing quick and accurate responses to the Clients
  • Coordinate with IT and the Change Team on all projects and initiatives
  • Draft procedures and outline target operational model for the day to day operations
  • Identify and have a clear interpretation of all issues
  • Evaluate alternative & best viable solutions for the Clients and Firm on related clearing process
  • Good understanding of the escalation policy and knowing when to proactively alert Management to any potential issue
  • Proficiency with Microsoft excel and Microsoft Word
  • Excellent understanding of Operational Risk, procedures, and controls
  • Strong verbal, written and Client facing skills
  • Effectively manage multiple key stakeholders
  • Minimum of 3 years experience in Client Services
  • Minimum of 5-10 years experience in Derivative and OTC Clearing Operations
  • BA/BS degree in Finance or Business Administration
60

Client Service Associate Resume Examples & Samples

  • Reviews services accounts by enforcing the documentation requirements of client accounts to meet industry policies and regulations,
  • Protects the firm, FA’s and clients by monitoring and resolving issues related to regulations on client accounts to identify potential problems or status of high risk accounts and situations
  • Answers operational and compliance questions related to account registrations
  • Monitors reports related to account opening and maintenance issues and maintain accurate records that comply with meeting exchange and firm requirements; notifying FA’s on actions concerning client accounts
  • May prepare industry-required mailings to clients
  • Participates in a high learning culture where on-the-job training is prevalent
  • Serves as a liaison between branches and other home-office personnel in a contact center environment
  • Validates client documentation received through the document imaging and workflow systems
  • Educate branch and home-office personnel on the use and maintenance of systems required for opening, maintaining, and documenting client accounts
  • Ability to synthesize all forms of research into clear, thoughtful, actionable deliverables
  • Understands client needs, identifies root causes of problems, and implements pragmatic solutions
  • Researching issues to provide timely, accurate, analytical and supportive responses
  • Multitask to handle phones and processing
  • Work constructively under stress and pressure when faced with high volume and deadlines
  • Use good judgment in responding to a variety of client issues
  • Competently analyze and prioritize information to make appropriate recommendations
  • Ability to adhere to a schedule
  • High School Degree or equivalent with at least two (2) years of customer service experience. Experience in a contact center environment and college degree preferred
61

Registered Client Service Associate Resume Examples & Samples

  • Registered Client Associate services clients and provides operational and administrative support to Financial Advisors. Educate clients on account services and capabilities
  • Input data in to financial planning tools Assist with the preparation of reports and other materials for client meetings
  • Ensure appropriate documentation is collated for new accounts and service request
  • Leverage communications channels to enhance relationships with clients
  • Maintain management systems with up to date client information
  • Organize logistics for team marketing events and maintain marketing materials
  • Provide team with calendar detailing daily, weekly and monthly activities
  • Identify service opportunities for clients
62

Client Service Associate Resume Examples & Samples

  • Designs and produces strategy reports and other types of communications for Advisors to use with clients and prospects as part of the overall marketing initiative
  • Synthesizes client/prospect data to develop customized financial plans/asset allocation proposals utilizing the Firm’s proprietary software tools
  • Independently improves and streamlines the service model and operational procedures for the team
  • Identifies practice management opportunities through various Firm channels
  • Independently develops, implements, and communicates new procedures, products, and portfolio enhancements to high net worth clients
  • Prepares performance measurement for clients, which involves computing account performance, analyzing investment portfolio holdings, and generating quarterly investment performance monitors
  • Develops presentation materials and proposals to assist Advisors in obtaining clients’ business
  • May participate in client/account meetings
  • Provides individualized recommendations to the Advisor regarding client situations by analyzing Advisor’s book of business and identifying new business opportunities
  • College degree (Finance degree preferred) and 2+ years of relevant work experience or 5+ years of relevant work experience
  • Expected completion of Series 7, 63, and 65 or 66 (as required by individual states)
  • 2 plus years of relevant work experience in Fixed Income Sales or Financial Advisor/Client Customer Service
  • Understanding of financial services industry and global capital markets
  • Strong customer relationship management and servicing skills, as well as internal corporate relationship management capabilities
  • Working knowledge of the Fixed Income Markets and Bloomberg
  • Knowledge of applicable compliance rules and regulations and firm policies
63

Lead Client Service Associate Resume Examples & Samples

  • Verify incoming deposits
  • Process outgoing withdrawals and journal requests
  • Properly record all interactions within customer relationship management software
64

AIP Client Service Associate Resume Examples & Samples

  • Support all aspects of the private equity and real estate client service function and assist in managing client relationships
  • Create the quarterly client letters for all private equity and real estate fund of funds products and separate accounts. This includes compiling underlying data from multiple data sources using Word, Excel, Documentum and AIP’s proprietary on-line private equity data portal
  • Assist in the planning and execution of AIP’s annual investor conference and other client events
  • Work with the Operations and the Information Technology teams to create and distribute custom quarterly reports
  • Create and deliver customized materials responding to requests from clients and consultants
  • Facilitate communications and processes regarding clients between AIP and Morgan Stanley Global Sales and Distribution, Morgan Stanley Wealth Management and other divisions of Morgan Stanley, including the Operations, Information Technology and Tax groups
  • BS degree or equivalent
  • Knowledge of/experience in alternative investments, especially private equity or real estate investments, a plus
  • A minimum three to five years related industry experience
  • Excellent quantitative, written, verbal and interpersonal skills, including the ability to interact effectively with business development contacts, prospects, consultants and clients
  • Highly detail oriented with a strong ability to manage and execute simultaneous projects and tasks without reminders
  • Flexible attitude with the willingness to expand, create and institute new business projects and ideas at the direction of the team
  • Exceptionally self-motivated, with a high level of initiative and the resourcefulness to efficiently and effectively problem solve
  • Strong knowledge of and ability to use Microsoft Word, Excel and PowerPoint
  • Current Licensing: Series 7 and 63 or ability to obtain such licensing within 6 months of hire
65

Client Service Associate Resume Examples & Samples

  • Gain industry and organizational knowledge through daily business interactions and job assignments
  • Develop business, financial and analytical skills needed for career in global wealth management and financial services
  • Provide marketing and sales support to branches and their teams
  • Perform market research
  • Gain exposure to wealth management business, products, services and clients’ financial needs
66

Client Service Associate Resume Examples & Samples

  • Support Senior Wealth Management Advisors in serving wealthy families
  • Preparing new account paperwork, client reviews, prospecting material and other day to day paperwork and filing
  • Helping schedule and coordinate client events
  • Taking client calls and performing follow up
  • Supporting the Central Administration group in the corporate office as needed
  • Proficiency in computer operation/window applications, especially Microsoft Word and Excel
  • Knowledge of financial and investment terminology preferred
  • Ability to handle and maintain a filing system accurately
  • Ability to handle a large volume of detail work in a timely manner
  • Be an independent learner
  • Ability to establish priorities and maintain a calm demeanor while working in an atmosphere of conflicting demands
  • Ability to communicate clearly, work tactfully and effectively with clients, accountants, attorneys and other WA Staff
  • Ability to work effectively as a team member and contribute positively towards the goals of the team and organization
67

Client Service Associate Resume Examples & Samples

  • Client interaction, account opening and service, business, investment, insurance and annuity processing
  • Excellent business administration and communication skills. Great task master and organizer
  • Experience and competence in the Microsoft suite of products
  • Flexible in workflow, delegation, and prioritization
  • Able to work with multiple personalities on a team and flex to client personalities
68

Client Service Associate Resume Examples & Samples

  • Perform daily operations, general client service and support for the Partners and their clients including
  • Desire to help clients, providing superior service for all that we do, taking complete ownership of even the smallest task
  • Strong attention to detail, exceptional problem-solving skills, and an ability to organize and prioritize work in order to meet deadlines in a proactive manner with little supervision
  • Clearly communicate with internal Wealth Management business units and co-workers
  • Regular interaction with clients, third party advisors and the internal teams that manage the client relationship
  • Strong verbal and written communication skills, professional presentation, and organizational skills
  • Strong proficiency in technology/applications required, knowledge of Microsoft Office, Advent, Moxy, and Morningstar a plus
  • 2 to 4 years of related work experience providing customer service in a financial service environment required
  • College degree required
69

Client Service Associate Resume Examples & Samples

  • Client communications
  • Maintains databases and data files
  • Prepares materials for meetings
  • Opens and processes account requests
  • Coordinates completion of meeting action items with clients and clients’ advisors (CPA’s, Attorneys, etc.)
  • Enter and maintain clients’ budget (i.e. Quicken, QuickBooks, etc)
  • Maintains efficient operation of the office
  • Assist with compliance, registration and licensing
  • Create, maintain and enhance written office systems and procedures
  • Prioritize and deliver on most critical issues or activities on a daily basis
  • Minimum financial client services experience of 2 years
  • High attention to detail and organization
  • Great attitude and communication skills
  • Handle multiple tasks
  • Impeccable follow through
  • Works well in a small office environment with minimal supervision
  • Proficient in outlook, adobe, word, excel and powerpoint
  • FINRA Series 7 & 63 preferred
70

Client Service Associate Resume Examples & Samples

  • At least 3 to 5 years’ experience in a financial planning, investment, insurance or banking office performing similar work. Knowledge of some product applications – funds, brokerage (non-qualified, qualified – could be basic to complex); insurance and annuities (at least some basic applications)
  • Capable of and enjoy working in a fast-paced office with a high volume of work
  • Ability and previous experience in working with clients – finding out what clients need and taking initiative to increase client satisfaction. Good relationship-builder with people
  • Strong, efficient scheduling skills. Be able to effectively contact and schedule clients for meetings
  • Organizational skills – able to deliver consistent results in a timely manner. Able to prioritize work, ask for deadlines and communicate problems/questions clearly with teammates and supervisors
  • At least 2 years’ college courses, Associates degree
  • Experience in utilizing Client Database software, such as Salesforce™, Junxure™, RedTail™ or other Internet-Based Database programs to maximize results for our clients and our firm
  • Social Media knowledge and work
  • Competent Mathematical Skills
  • Good writing skills – including grammar knowledge
  • Promptness, Loyalty, Integrity and Caring Attitude
  • Series 7, Series 66, CT life & health - preferred
71

Client Service Associate Resume Examples & Samples

  • Sending policy applications to insurance providers
  • Authorise access and respond to client queries regarding MSWM Website
  • Obtaining information on clients’ existing external super fund, UK pension and insurance provider accounts
  • Business/Industry knowledge/competencies
  • Knowledge of financial markets and the financial planning industry (highly desirable)
  • Administrative experience preferred
  • Experience in a Financial Planning environment highly desirable
72

Client Service Associate Resume Examples & Samples

  • Responsible for the day-to-day administrative duties with significant client interaction by phone and email
  • Manage and execute new client on-boarding process, including account set up, application processing and asset transfers
  • Process detail reconciliations of internal account positions and custodian records
  • Manage and process client requests for withdrawals, deposits and account maintenance
  • Prepare client meeting materials
  • Understand the client’s overall needs and identify value-added services that RiverPoint Capital Management can provide
  • Strong PC proficiency on various products including MS Office Suite, specifically MS PowerPoint, MS Excel and MS Outlook
73

Sales & Client Service Associate Resume Examples & Samples

  • Respond to and process daily volume of incoming mail via the website
  • Answer daily incoming calls
  • Provide time-sensitive client service and support
  • Process client service requests, such as subscription list changes, address changes, and requests for access to our client login service
  • Execute regular, proactive, phone-based service-based campaigns
  • Maintain detailed and accurate records of call outs and touch points made to current and prospective clients
  • Provide weekly reporting to management
  • Identify and qualify leads for the account management team
  • Work closely with the account management team to coordinate outbound call efforts to present a cohesive message to clients and prospects
  • Qualify leads for the account management team for follow up and possible face-to-face meeting
  • Provide back-up support for traveling account managers
  • Handle incoming client questions
  • Provide immediate post-meeting support to the account managers, such as sending product information or establishing client logins
  • 1-2 years of experience, preferably at an asset management firm
  • Excellent listening and probing skills
  • Ability to collect and report important client feedback to marketing and business development team on a regular basis
  • Eagerness and willingness to learn and develop industry knowledge and expertise
74

Registered Client Service Associate Resume Examples & Samples

  • Assist advisor in servicing clients including preparing financial plans, conducting investment research and completing trades and transactions
  • Prepare and summarize client meetings by scheduling and confirming meetings, enter data into contact manager, create the agenda and summary of meetings, escort clients to advisor and provide necessary follow-up
  • Prepare and ensure new business paperwork successfully submitted which includes preparing forms, obtain appropriate signatures, prepare documentation to send to home office, track new insurance applications and coordinate rollovers
  • Prepare for and coordinate marketing events which includes creating marketing compliance documentation and managing event marketing reimbursement
  • Provide general administrative duties such as answering the advisors phone, processing expense management reports, prepare routine client correspondence, support for closes, set up of client files, copy and new business correspondence and alerts
  • Relevant Experience Required - 3 to 5 years
  • Series 63 & 65 or 66, Life, Accident, and Health licenses (or commitment to obtain within 120 days of start)
  • Strong computer and software skills
75

Client Service Associate Resume Examples & Samples

  • Assist advisor in servicing clients including preparing financial plans, conducting investment research and completing trades and transactions as described by the advisor
  • Prepare and summarize client meetings by scheduling and confirming meetings, enter data into contact manager, create the agenda and summary of meetings, escort clients to advisor and provide necessary follow-up
  • Prepare and ensure new business paperwork successfully submitted which includes preparing forms, obtain appropriate signatures, prepare documentation to send to home office, track new insurance applications and coordinate rollovers
  • Prepare for and coordinate marketing events which includes creating marketing compliance documentation and managing event marketing reimbursement
  • Provide general administrative duties such as answering the advisors phone, process expense management reports, prepare routine client correspondence, support for closes, set up of client files, copy and new business correspondence and alerts
  • Associate (2-year) degree or equivalent
  • Relevant Experience Required-3 to 5 years
  • Experience working in a client service environment
  • Detail orientated, strong math, and analytical skills. Good organization and time management skills
  • Able to manage multiple priorities and prioritizes effectively. Able to independently work with minimal supervision
  • Able to communicate with all levels within the organization. Process oriented and can work with a team
76

PWM Client Service Associate Resume Examples & Samples

  • Develops and implements strategies to execute the business plan to achieve desired results
  • (i.e., to increase client base, gross production, Portfolio Management assets, etc.)
  • May regularly accompany senior team members to engage with clients to educate about the
  • Firm’s services and products
  • Develops potential strategies to further enhance client relationships based on issues documented during client visits
  • Stays attuned to updates and enhancements to firm products and policies
  • Engages in strategic planning with other team members on client matters
  • Interacts regularly with the Complex Business Development Manager
  • College degree and 5+ years of relevant work experience or 10+ years of relevant work
77

Client Service Associate Resume Examples & Samples

  • Assist in driving firm-wide initiatives throughout the complex
  • Identify operational improvement opportunities through involvement with Service Associates and assessment of certain activities
  • Serve as a local subject matter expert on Cash Management related activities for FAs/PWAs, Support Staff, FA & CSA Coaches and clients
  • Partner with Regional Cash Management Specialists and Regional Relationship Coordinator to educate/train the field and identify areas of opportunity within their Complex
  • Work with CSA Coaches to drive key communications and share best practices as it relates to Cash Management
  • Previous industry experience
  • Self-motivated, ability to develop and drive projects
78

Client Service Associate Resume Examples & Samples

  • Responsible for on-going client maintenance which includes reporting, analyzing, and researching complex situation, offering alternatives, handling internal processes, and taking ownership to obtain satisfactory resolutions
  • Develop and maintain client presentation materials to support both the institutional and retail markets
  • Ensure completion of due diligence request for AUIM’s institutional and retail markets
  • Create and modify client reports using a Web-Intelligence reporting tool
  • Develop and foster proactive, positive relationships with clients, consultants, and internal partners on a daily basis
  • Negotiate solutions that balance the needs of customers and AEGON
  • Superior, friendly and professional daily telephone conversations and e-mail exchanges with clients, consultants, and internal departments
  • Coordinate third party new business installations
  • Recommend and implement effective solutions to problems, issues, processes, and suggest improvements to gain efficiencies
  • Provide internal support to both the institutional and retail distribution teams
  • Provide support on client relations efforts as requested
  • Works on assignments of moderate scope and complexity, with limited oversight
  • Makes recommendations for changes to procedures, and performs varied work, requiring some originality or ingenuity
  • 2 plus years of investment management or investment client service experience strongly preferred
  • Bachelor's degree in Finance or related Business degree is required
  • Knowledge of investment instruments
  • 6 plus years of investment management experience, client service experience is strongly preferred
  • Bachelor’s degree in Finance or related Business degree is required
  • In-depth knowledge of investment instruments
  • MBA and/or CFA strongly preferred
79

Cib-asia Client On-boarding Client Service Associate Resume Examples & Samples

  • Manage the end to end client onboarding process
  • Liaise with Business to collect documents and ensure all KYC requirements are met whilst Onboarding the client
  • Review of the Client Onboarding Request to ensure minimum information and documentation has been provided
  • Oversee non-KYC activities associated with Client Onboarding (Legal/Credit)
  • Pipeline Management, Conduct regularly meetings with business management to discuss pipelines, provide MIS, and prioritize KYC requests
  • Provide single point of contact/escalation to stakeholders
  • Defines/drives the strategic direction of the function, involved in discussions on moving the function forward in terms of technology and processes
  • Actively partners across LOBs/functions to drive the risk/control agenda; participate in appropriate control forums
  • Develops/supports preventative processes to strengthen the control framework and monitors for potential process failures or weaknesses
  • Attend regular stakeholder meetings and client visits
  • Over 3 years experience in an investment banking environment, preferably in a Client Onboarding or Middle Office client service role
  • Strong Client focus and stakeholder management experience
  • Ability to deal with high pressure, time sensitive tasks
  • Strong working knowledge of KYC / CIP / AML rules and regulations
  • Flexibility to adapt to a continually changing environment, and be prepared to take on responsibility whilst being willing to absorb and share their knowledge continuously
80

Client Service Associate Resume Examples & Samples

  • Experience with contract management and negotiation skills
  • Knowledge of asset management industry
  • Excellent attention to detail, organization and presentation skills
  • Proficiency with standard software
  • Relevant legal qualification
81

Registered Client Service Associate Resume Examples & Samples

  • Assist Financial Advisor in reviewing client accounts
  • Answer phones, take messages, and respond to client requests, when appropriate
  • Take client's orders and provide market quotes within the guidelines of compliance and branch management
  • Communicate regularly with clients on items such as monthly statements; provide full customer service
  • Full knowledge of the Firm's operations systems
  • Interact with operations staff to address issues and problems
  • Type correspondence for Financial Advisor, following Firm guidelines
  • Maintain files for Financial Advisors on clients and products
  • Provide follow-up with clients and operations staff
  • Investigate and resolve operational problems
  • Alert Management to policy violations, if applicable
  • Assist in the training of less experienced staff, at Management request
  • Obtains investment and product information for Financial Advisor
  • Perform other duties, as assigned by Management
  • At least 3 years relevant experience in the financial services industry
  • Series 7,63 and insurance licenses preferred
  • Ability to communicate effectively with co-workers and clients
  • Minimum of high school diploma or equivalent
82

Asset Management Latin Private Bank Senior Client Service Associate Resume Examples & Samples

  • Deliver comprehensive, high quality service to private banking clients
  • Manage daily client transactions (including funds transfers) accurately, within established deadlines and in accordance with business policies and procedures as well as industry and local regulations
  • Research, follow-up and resolve client inquiries and issues through effective interaction with clients, advisors, operating teams and other partners in a timely and professional manner
  • Communicate transaction confirmations and regular activity reports accurately and promptly
  • Participate in Service-related projects/priorities as needed, (including missing documentation, process reviews, client communications, etc.)
  • Minimum of 5 years experience in the Financial Services and/or Private Banking industry
  • High level of personal initiative, and ability to perform effectively in a fast-paced environment with rapidly changing business priorities
  • Effective communicator (both orally and in writing) who can positively engage and influence clients as well as internal stakeholders
  • Highly organized, attentive to details, excellent follow up habits
  • Strong understanding of banking controls, current regulatory trends, AML/KYC topics
  • Fluency in Spanish and English is critical
83

Registered Client Service Associate Resume Examples & Samples

  • Assist clients with completion of new account forms
  • Provide ongoing account maintenance
  • Verify incoming deposits
84

Client Service Associate Resume Examples & Samples

  • Responsible for the day-to-day administrative duties for the team (e.g. pending follow up, scanning files, returning client phone calls and email, processing paperwork, etc.)
  • Process various types of monetary transactions on a day to day basis (e.g. wire transfers, journals, etc.)
  • Complete various data entry projects with financial planning software, excel spreadsheets, etc
  • Understand protocol and assist in communicating with outside advisors as needed
  • Manage review meeting items (e.g. prepare and bind report books, complete forms and documents, review and complete preparation checklists and spreadsheets, etc.)
  • Assist with company receptionist duties on a regular basis as well as daily back up call recipient
  • Understand the client’s overall needs and identify value-added services that could be provided
  • High school diploma required, Bachelor’s Degree preferred
  • Two or more years of related work experience in a financial services firm with a client service role
  • Highly organized with strong analytical skills and the ability to problem solve
  • Deadline and detail oriented
  • Strong verbal and written communication skills which are essential to effective client relationships
85

Client Service Associate Resume Examples & Samples

  • Provide support and direction to incoming callers regarding operational requirements, processes, policies and time frames
  • Facilitate training of associates and provide education to branch associates on the use of applications and system enhancements
  • Extensive contact with internal customers and external contacts is required to identify, research, and resolve problems
  • Demonstrate department procedures and functionality to visiting branch and home-office support staff
  • Provide and/or coordinate cross-training, coaching and mentoring. Serve as a back-up in cross-functional responsibilities during absences
  • Assist in research, develop, revise and maintain department on-line training manual as needs dictates
  • Assist with the implementation of new ideas to increase job performance and production
  • Monitor and resolve issues related to regulations regarding client accounts, to identify potential problems or status of high risk accounts and situations
  • Provide input to supervisor regarding prioritization of assignments on a regular basis
  • Prepares written recaps, reports and spreadsheets for special projects and submits to management for review
  • Initiates efficiency and productivity improvements
  • Performs other duties, special projects and responsibilities as assigned
  • Operations and systems of assigned functional area
  • Basic customer operations and financial industry knowledge
  • Basic accounting concepts and principles
  • Basic investment concepts, practices and procedures used in the securities industry and as required by assigned functional area
  • Detail orientation and flexibility sufficient to handle high volume of phone calls requiring quick analytical and supportive responses
  • Interpersonal and communication (written and verbal) skills sufficient to interact with associates at all levels of the organization as well as financial advisors and branch personnel
  • Identifying and resolving operational issues
  • Numerical aptitude and critical thinking sufficient to solve operational problems
  • Analyzing operational processes and identifying opportunities for improvement
  • Operating standard office equipment and using required software applications to produce correspondence, reports and electronic communication
  • Lead the work of others and provide cross-training, coaching and mentoring
  • Read, comprehend and apply business-related information
  • Incite enthusiasm and influence, motivate and persuade others to achieve desired outcomes without benefit of formal organizational authority
  • Serve as a role model and provide a high level of customer service
  • Establish and maintain effective working relationships at all levels of the organization
86

Client Service Associate Resume Examples & Samples

  • Exposure to economics or finance
  • Client-focused with a desire to provide the highest standard of client service
  • Ability to respond quickly and calmly to changing demands from clients
  • Results-driven
  • Understanding of hedge fund strategies
  • Experience in report production, investment writing and requests for proposal (RFP)
  • Series 24
87

Client Service Associate Resume Examples & Samples

  • Managing the team schedule
  • Team meeting agenda
  • Call lists
  • Travel, reservations, booking events
  • Expenses
  • Intern and other hiring coordination / scheduling
88

Registered Client Service Associate Resume Examples & Samples

  • Assist Private Wealth Advisors (PWA) with maintaining all aspects of corporate client relationships
  • Interact closely with clients and respond timely to questions or issues
  • Daily administrative duties include booking of trades, processing documentation, handling phones and mailings
  • Business development includes managing prospect reservation system, sourcing new clients and cultivating existing relationships
  • Interacting with PWM management
  • Participating in ongoing learning and development to enhance support of PWAs’ business
  • Good knowledge of Word, Excel, and PowerPoint
  • Knowledge or experience with Fixed Income products is highly preferred
89

Client Service Associate Non Registered Resume Examples & Samples

  • 1-2 years administrative experience; financial services experience preferred
  • Must have excellent attention to detail and follow-up skills
  • Series 7 and 63 a plus but not required
  • Focus on providing exemplary client service
  • Focus on excellent communication skills
  • General understanding of the investment brokerage industry, securities regulations, and investment products
90

Client Service Associate Resume Examples & Samples

  • Reviews, updates, maintains and services accounts by enforcing the documentation of client accounts to meet industry policies and regulations, and protect the firm, FA’s and clients
  • Monitors and resolves issues related to regulations on client accounts to identify potential problems or status of high risk accounts and situations
  • Interpersonal and communication skills sufficient to interact with associates at all levels of the organizational as well as FA’s, both orally and in writing
  • High School Degree or equivalent with at least two (2) years of customer service experience
91

Client Service Associate Resume Examples & Samples

  • Will work as a partner with an External Wholesaler to develop, maintain and expand relationships, and drive sales in your region for separate accounts, mutual funds, closed end funds, and alternative investments
  • Handle incoming phone calls, requests for product information, sales and marketing material, and problem resolution in a professional and timely manner. Can include conducting timely, thank you calls, targeted campaign calls, and portfolio reviews
  • Establish key relationships with registered investment advisors and other financial representatives within our coverage with occasional travel throughout the territory
  • Provide sales meeting preparation and follow-up for the external wholesaler
  • 1-3 years of financial services industry experience
  • Strong knowledge of mutual funds, separate accounts, closed end funds, or alternative investments
  • Strong organization skills with the ability to manage multiple tasks
  • Excellent verbal, written, and presentation skills. Proven selling and relationship building skills
  • Self-starter and self-motivated person who is capable of working in a team environment
  • Preferred FINRA Licenses (Series 7, 66 and 31; will be required within 6 months)
  • Strong computer skills, including MS Word, PowerPoint, and Excel
92

Client Service Associate Resume Examples & Samples

  • Serve as the primary client service contact
  • Submit and track new investment and insurance business
  • Execute securities trades and money-movement transactions
  • Submit and manage client service documentation
  • Oversee our website and digital presence
93

Client Service Associate Resume Examples & Samples

  • Educate clients on account services and capabilities
  • Input data in to financial planning tools
  • Assist with the preparation of reports and other materials for client meetings
  • Ensure appropriate documentation is collated for new accounts and service requests
94

Client Service Associate Resume Examples & Samples

  • Minimum of 3 years relevant experience in the financial services industry
  • Knowledge of financial industry/products
  • Ability to acquire Series 3 and 7 registration, and additional licensing as needed by the Firm
  • Excellent written and oral communication skills in English and Mandarin
  • Minimum of university undergraduate or equivalent
95

Client Service Associate Resume Examples & Samples

  • Identifies practice management opportunities through various firm channels
  • Establishes and cultivates relationships with new clients and proactively helps to resolve issues and concerns
  • Provides support on products and services
  • Conducts quarterly/annual business performance reviews in conjunction with the Financial Advisor
  • If required, maintain CFP or CFA designation
96

Client Service Associate Resume Examples & Samples

  • 60% Financial Planning & Advice / Product Solutions
  • Prepare preliminary financial planning recommendations and initial product solutions for advisor review and use in client meetings
  • Prepare charts, graphs, tables and other visual aids to be used in implementation meetings with clients
  • Develop portfolio/robust product solution recommendations that will fit the client’s risk tolerance and time frame as well as develop appropriate product deliverables
  • 40% Client Care / Business Management
  • Maintain client contact during the financial planning process. Answer questions and provide readily available information to clients, if requested and as allowable, as it relates to servicing their accounts
  • Review and update client information as needed for client review meetings. Attend and participate in client meetings if necessary
  • Manage and resolve client service problems
  • Perform other allowable duties as assigned by the financial advisor(s)
97

Junior, Client Service Associate Resume Examples & Samples

  • Mastery of the following systems: TrustDesk, ORS system and PostEdge
  • Working Knowledge of Wealth Manager/Temenos
  • Assisting clients with Portfolio Online
  • Responsibility for inputting all cash processing functions
  • Ability to handle all aspects of gifting - cash / in kind / gift letters / Crummey letters
  • Ad hoc bill-paying and set up recurring payments
  • Managing clients’ quarterly tax payments and annual IRA contributions/RMDs
  • Researching and resolve overdrafts
  • Preparing new account packets and open new accounts & sub-accounts
  • Assisting with file coordination for quarterly admin & investment reviews
  • First review of administrative reviews
  • Provide documentation for Annual Review Suite
  • Researching client inquiries/problems and bring about resolution
  • Administrative support: answer telephones, prepare correspondence, maintain files
  • Integral support for client service teams and special projects as assigned/requested
  • Learn and demonstrate proficiency with systems and processes
  • Professional and polished interaction and communication with colleagues and clients
  • Show initiative when learning systems and processes
  • Actively engage with training opportunities
  • Execute work flow accurately and efficiently per guidelines and training
  • Collaborate with your team members with the singular goal of providing excellent client service
  • Show commitment and dependability to get the job done with a positive attitude
  • Fulfill all regulatory, compliance and fiduciary requirements
  • May assume some responsibilities described in Client Analyst role and/or business development support functions
98

Client Service Associate Resume Examples & Samples

  • Distribute new account documents and required notifications to clients and review new account forms for accuracy and completeness, including input of client banking details
  • Assign account numbers and provide FAs with completed new account forms after management approval
  • Arrange and assist with CHESS and sponsorship, off-market, broker to broker and issuer to CHESS transfer of client documents
  • Authorise access and respond to client queries re Website
  • Process and monitor stock settlements, including follow up with clients re outstanding funds
99

Client Service Associate Resume Examples & Samples

  • Assist M&T Securities Customers with account maintenance requests and communicate appropriate information their assigned Financial Consultant
  • Enhance relationships by assessing client inquiries & concerns and offer appropriate solutions
  • Effectively collaborate with internal business partners to resolve customer requests in a timely manner. Employee takes ownership of general servicing requests and provides information within a timely response to clients
  • Understand document requirements needed to facilitate customer account maintenance requests
  • Effectively navigate systems and trouble-shoot common customer issues to resolve customer requests
  • Recognize and minimize areas of risk for both firm and the client as it relates to processing activity
  • Schedule customer appointments with M&T Securities Financial Consultants by recognizing customer opportunities and/or needs
  • Create and cultivate a client experience that exceeds the client’s expectations
  • Cultivate a team environment by bringing a positive attitude and consistently searching for ways to help your peers to ensure an excellent associate and client experience
  • Adhere to applicable compliance/operational risk controls in accordance with Company or regulatory standards and policies
  • Promote an environment that supports diversity and reflects the M&T Bank brand
  • Adhere to M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable
  • Present a positive, professional image
  • Bachelor’s degree or, in lieu of a degree, a minimum of 4 years relevant work experience
  • A minimum of 1 year relevant work experience
  • Ability to obtain Series 6 and Series 63 licenses within 8 months of starting in the position
  • Ability to work effectively in a team environment focused on the first line response to client inquiries
  • Excellent communication, multitasking, and analytical skills
  • Ability to resolve customer issues utilizing critical thinking skills and communicate appropriate responses
  • Knowledge to operate Window’s based programs which require intermediate computer skills
  • Well organized individual with ability to prioritize tasks and manage time effectively
100

Client Service Associate Resume Examples & Samples

  • Account set up, termination etc
  • Asset transfers
  • Account alerts
  • Know Your Client (KYC) requirements
  • Analyzes client situations and makes recommendations regarding the best approach to transferring/setting-up client accounts
  • Effectively handles assigned account maintenance requests, resolves account problems and is a direct interface with custodians
  • Tracks incoming TOAs to determine when all assets have arrived
  • Interfaces with advisor teams to identify and research various projects and technical issues
  • Support work group and firm wide utilization of technology in support of client servicing
  • Stays current on industry trends in the area of Investment Advisory Client Service and analyzes new processes as they emerge
  • Creating and maintain the client flow chart to track all incoming client assets by coordinating with advisor teams
  • Works with Operations to facilitate proper billing, reporting and trading set-ups
  • Determining what assets can/can’t be held at custodian and next steps by coordinating with advisor teams
  • Facilitate onboarding meetings with CRAs and advisor teams
  • Ensures client is added to the appropriate gift and card logs. Plus other internal tracking (RMDs/Conversions/Etc), by coordinating with CRAs
  • Minimum 1 year of client services administration in a financial services firm
  • Proficient knowledge of client service aspects of Schwab and Fidelity platforms preferred
  • Knowledgeable of securities processing and have an understanding of the details of different types of client accounts
  • Able to determine the proper course of action and procedures based on custodian requirements and client needs
  • Ability to work in a fast paced environment and perform work efficiently to meet deadlines
  • Able to work effectively as part of a team, yet function well with independent responsibilities
  • Adept at learning and adapting to new technologies and procedures
  • Proficient in the use of Junxure or other industry related CRM
  • Solid understanding of superior client service with high net worth clients
  • Superior time management skills
  • Strong analytical and organizational abilities
101

Registered Client Service Associate Resume Examples & Samples

  • Educate clients on account services and capabilities including how to read statements, how to access online services, etc
  • Provides direct support to Financial Planners, Investment Analysts, and the Retirement Plan Consultant
  • Work with new clients to collect and process appropriate documentation to set up new accounts
  • Coordinate various communication channels to maintain contact with clients including birthday cards, newsletters, etc
  • Process account service requests and ensure appropriate documentation
  • Answer incoming calls and direct to appropriate team member
  • Assist in the preparation of client reports and other materials needed for client meetings
  • Organize and maintain marketing material