Client Service Associate Resume Samples

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E Trantow

Emily

Trantow

22368 McKenzie Greens

Dallas

+1 (555) 550 0793

22368 McKenzie Greens

Dallas

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

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

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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

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

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)

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Client Service Associate Resume Examples & Samples

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

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

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

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

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

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

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

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

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)

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

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

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)

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Registered Client Service Associate Resume Examples & Samples

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

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

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

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

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

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

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

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

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

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

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

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

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

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)

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

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

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 materials
Maintain Salesforce with up to date client information
Coordinate weekly team and sales meetings
Proactively develop self to continuously improve knowledge, skills and credentials
Assists Retirement Participants with enrollment and other transactions

102

Client Service Associate Resume Examples & Samples

Provide accurate, timely and efficient responses to client inquiries. Ensure professional standards and maintain quality of client servicing
Support client relationship management activities such as
Distribution of white papers and newsletters to institutional clients
Assist with DDQs/RFPs
Preparation of client books and presentation materials for portfolio review meetings and/or business development activities
Co-ordination of client visits (eg. due diligence) and client seminars when required
Assist with business development opportunities with existing clients
Other sales and marketing administrative matters, including filing and organization of folders
Serve as back-up to Client Relationship Manager on client requests. Occasionally also serve as back-up for client reporting matters
Serve as back-up to Client Relationship Manager on client requests and occasionally back-up for client reporting matters

103

Registered Client Service Associate Resume Examples & Samples

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

104

Client Service Associate Team Lead Resume Examples & Samples

Ensuring superior client experience through providing excellent administrative and organizational support in all client related processes
Providing on-the-job training and coaching for less experienced Client Advisor Assistants
Support the Investment Associate. Work as part of a Investment Associate Team and take over responsibility for optimal support service delivery
Act in the role of an intermediary to other service providers
Act as the point of entry for process client orders and deal with client queries and troubleshooting through specialized transactional process knowledge
Contact with clients and respond to requests while supporting the Investment Associate
Work on multiple products or processes of up to medium level of complexity
Use existing, clearly defined procedures to solve routine problems and reply to client requests in standard and non-standard situations

105

Client Service Associate Analyst Resume Examples & Samples

One (1) to three (3) years working in GE manufacturing or GE manufacturing support environment
Proficiency using Microsoft Office software including Excel, Word, Outlook, and Access
Outside the box thinking
Experience using enterprise data base management software
Ability to develop reports and forecasts based on production schedule and consumption rates
Familiarity with aviation engines and components

106

BB&T Securities Registered Client Service Associate Resume Examples & Samples

Schedule appointments of properly qualified clients and potential clients for Financial Advisors as appropriate
Maximize sales opportunities from referrals by developing relationships with BB&T employees
Provide a high level of service to existing clients, consistent with the full development and maintenance of the client relationship
Properly record transactions and inquiries and ensure client files are completed and maintained
Handle all written correspondence as directed
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
Respond in a timely manner to all sales inquiries and execute related transactions
Provide Branch Manager and/or Financial Advisors with timely activity reports, referrals generated and sales results for accurate record keeping
High School diploma or equivalent education and related training
Financial Industry Regulatory Authority (FINRA) Series 7 or 11 and insurance license(s) if needed to support Financial Advisor
Experience in a support role
FINRA Series 9, 10 licenses

107

Client Service Associate Resume Examples & Samples

Maintain accurate marketing materials, assemble required documentation in advance of sales presentations and assist with marketing mail out activities
Maintain current knowledge of, and comply with, all compliance regulations, securities laws, risk & confidentiality requirements and the TD Codes of Conduct & Ethics,
Ensure satisfactory resolution of client enquiries and take ownership of coordinating responses with other branches/departments as necessary
Participate fully as a member of the team and contribute to a positive work environment
Process client applications and transfers in a timely manner;Execute market orders and respond to client enquiries promptly and accurately
Participate fully as a member of the team and contribute to a positive work environment;Share expertise of position relevant information and any changes discovered
Detail oriented and highly organized Ability to work in a fast-paced, dynamic environment
Proficient with firm software & MS Office Suite

108

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
Ability to thrive in a team environment
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

109

Client Service Associate Resume Examples & Samples

Deliver support for the on-boarding and ongoing administration processes for clients in EMEA and international offices investing in the Dublin and Cayman-based funds
Perform technical analysis and reporting in support of internal and external client requests, both standard and client-specific
Provide assistance and input in Request for Proposals (RFP) submissions and Due Diligence Questionnaires (DDQ) on occasion
Provide assistance and input in multiple projects and develop efficiencies in the extraction and manipulation of data, both in terms of qualitative and quantitative information
Assist the Italian team in managing the relationship with our client support functions as well as their providers (custodians etc…)
Fluent Italian speaker in written and oral communication – required
Relevant experience in an investment industry client-service related area
Financial markets knowledge – preferred
Project management skills – required
Client service capabilities – required
Investment analysis skills – preferred
Communication skills – required
Interpersonal skills – required
Problem solving skills – preferred
University Degree or equivalent qualification / equivalent experience - Economic, Financial or Mathematical subjects preferred

110

BB&T Securities Registered Client Service Associate Resume Examples & Samples

Recognize and meet the complex needs of high net worth clientele by assisting with financial planning, estate planning, gifts and estate distribution
May be expected to facilitate appropriate order flow in some trading situations
Assist in opening new accounts for clients, ensuring that the clients’ needs are met while regulations are followed
Report errors in a timely and complete manner according to procedures
Organize customer related files, correspondence, advertising and sales literature files consistent with policies and procedures
Maintain appropriate reference and/or forms files based on the type of business conducted by the Financial Advisor being supported
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 and daily deposits, incoming correspondence, letters of authorization, new account paperwork, outgoing checks, outgoing correspondence, securities received and delivered log, syndicate file maintenance, and 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
Financial Industry Regulatory Authority (FINRA) Series 7, 63 or 66 and insurance license(s) if needed to support Financial Advisor
Excellent customer service, communications and organizational skills
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

111

BB&T Securities Non-registered Client Service Associate Resume Examples & Samples

Properly record transactions and inquiries and see that client files and confirmations are complete, current, and maintained in a manner that conforms to regulatory and firm policies
Handle all written correspondence to or from clients as directed by Financial Advisor(s)
Enlarge upon sales opportunities from referrals by developing relationships with BB&T employees
Provide Branch Complex Manager and/or Financial Advisor(s) with timely activity reports, referrals generated, and sales results for accurate record keeping
Associate’s or Bachelor’s degree
Financial Industry Regulatory Authority (FINRA) Series 7, 63 and insurance license(s)

112

Senior Client Service Associate Resume Examples & Samples

Liaise with and maintain effective communication networks with internal and external peers and colleagues in particular Investment Management, Portfolio Specialists, Product Management, Global Client Service Support, New Business Services, Portfolio Administration, Compliance, Legal and Risk/Performance Management to ensure the integrity, accuracy and appropriateness of information provided to clients
Support activities such as
Distribution of various client reports and newsletter (routine and ad-hoc)
Creation of DDQs/RFPs
Japanese/English translation and review
Preparation for the client seminars and events (eg. due diligence)
Assist with on-boarding process for new clients
Maintenance and development of website working with Global Web team
Assist with Prospectus, Semi-annual and annual report production
Assist with sub-advisory client service
Other administrative matters

113

Lead Registered Client Service Associate Resume Examples & Samples

Perform two of the following: (1) Lead a key firm initiative (practice management, peer training, etc.) at a Complex or region level; (2) Responsible for assisting Ops Leader(s) with branch operations; (3) Direct one or more client service associates. Alternatively, have increased direct advisor support span of control (1.5-3 times volume) and perform at least one of the following: (1) Lead a key firm initiative (practice management, peer training, etc.) at a Complex or region level; (2) Responsible for assisting Ops Leader(s) with branch operations; (3) Direct one or more client service associates
Assist advisor in servicing clients including preparing financial plans, conducting investment research and completing trades and transactions as well as, additional administrative duties as necessary
Responsible for preparing and summarizing client meetings by scheduling and confirming meetings, entering data into contact manager, creating the agenda and summary of meetings, escorting clients to advisor and providing necessary follow-up
Prepare for and coordinate marketing events including creating marketing compliance documentation and managing event marketing reimbursement
Prepare and ensure new business paperwork successfully submitted which may include preparing forms, obtaining appropriate signatures, preparing documentation to send to home office, tracking new insurance applications and coordinating rollovers
Bachelor’s degree or equivalent
Relevant Experience Required
Series 7 (or commitment to obtain within 120 days of start)
Detail orientated, strong math, and analytical skills. Good organization and time management skills

114

Client Service Associate Resume Examples & Samples

Analyze information regarding client income, assets, investments and debts to determine which financial products best meet the client’s short and long-term cash management and business needs and objectives. Provide high quality, high touch service to Private Banking clients. Responsible for monitoring, maintaining, and servicing client accounts across complex structures and a wide variety of products
Act as an advisor to clients on banking related needs. Advise clients on the advantages and disadvantages of different products and strategies
Use deep knowledge of the relationship and available sales tools / reports to independently identify market, promote, and execute cross-sell and up-sell opportunities
Research, follow-up and resolve client inquiries, complaints, and other issues through effective interaction with clients, advisors, product partners, branch/operations teams and other staff in a timely and professional manner

115

Registered Client Service Associate Resume Examples & Samples

Assist with office operations including answering phones, greeting clients and screening calls
Collect appropriate documentation to set up new accounts
Scheduling of meetings and appointments

116

Senior Client Service Associate Private Banking Series Resume Examples & Samples

Interview prospective candidates and collaborate on the hiring process
Lead deposit gathering efforts within the Service team
College degree or equivalent financial services/banking industry experience preferred

117

Registered Client Service Associate Resume Examples & Samples

Interacts daily on the phone and in person with prospective and existing clients including handling basic inquiries and providing quotes
May solicit orders from clients at the direction of the Financial Advisor
Researches client and security information through the back office system
Maintains client information and creates reports using portfolio software programs
Trains other Service Associates
Investment concepts, practices and procedures used in the securities industry

118

Private Client Service Associate Resume Examples & Samples

Undergraduate Degree or Community College Diploma preferred
Current enrollment in either the CIM, CSC or CFA program
Detailed oriented and highly organized
Proficient with MS Office Suite

119

Client Service Associate Resume Examples & Samples

Provide support to Senior Wealth Advisor in support of client needs. Involves creating reports in support of client relationships [pre and post meetings]
Execute on specific actions determined during client meetings. Could entail making portfolio changes, tax loss harvesting, and coordinating with client and client’s other advisors
Daily client contact via phone, and potentially attend select client meetings with Senior Wealth Advisor
Understand client’s overall needs; Identify value-added services that Mariner Wealth Advisors can provide
Provide additional organizational support which might include interaction with outside investment providers, and other strategic relationships
Two years or more experience in Investment / Wealth Management / Financial services
Technical knowledge of investment industry
Experience with Money Guide Pro, eMoney strongly preferred
Bachelor’s Degree in Accounting, Finance or related field preferred
Specific experience with Investments, Tax, and/or public accounting a plus

120

Registered Client Service Associate Resume Examples & Samples

Screen incoming calls directing as needed to Advisors or handle client needs
Prepare and process new account paperwork
Open new client accounts, gathering client information, and verifying documentation
Help clients complete new account forms and processing with eSignature & DocuSign
Process and track account paperwork and transfers – Securities, Insurance & Annuities
Handle client deposits through local deposit and/or remote deposit
Facilitate and verify incoming transfers from outside vendors/brokerage companies
Maintain client and compliance files
Maintain, document and improve ongoing firm’s operations & procedures manual

121

Client Service Associate Non Registered Resume Examples & Samples

High School Diploma or equivalent; prefer 2 years college or business school certificate
2 years clerical/related industry experience required; prefer 2 years of investment industry experience as well
No licenses or credentials required

122

Private Client Service Associate Resume Examples & Samples

The ideal candidate will be a self-starter, with the ability to work with minimal supervision
By Excelling at administration and being exceptionally well organized, the candidate will use considerable initiative to provide high level of organization for the branch
Knowledge of MS Word, Excel, PowerPoint

123

Client Service Associate Resume Examples & Samples

Bachelor’s degree required, preferably in Business, Economics, Finance or Math
Two years of investment/finance industry experience with a basic understanding of financial markets
Demonstrated client service ability. Able to resolve client issues, address questions in a professional manner, execute on client deliverables and handle client requests
Solid verbal and written communication and proof reading skills. Demonstrated ability to follow through on deliverables
Quantitative skills utilizing Excel & other MS applications. Ability to apply math and quantitative knowledge to resolve problems. Strong attention to detail
Basic project coordination and management capabilities including time management, prioritization and organizational skills
Ability to organize client deliverables & to deal with interruptions while meeting expected deadlines. Solid decision making ability
Understanding of investment analysis, preference for experience reviewing financial documents for accuracy and identify discrepancies, oversite of client and regulatory requirements
Interpersonal skills which includes the capability to work with a wide range of people, collaborate with team members, develops productive relationships with clients and vendors. Ability to adjust behavior and maintain performance under pressure
Solid problem solving capability, think through viable options and make effective decisions. Determines when issues must be escalated
Demonstrates discretion and good judgement as well as high level of professionalism while dealing with clients and associates

124

Client Service Associate Resume Examples & Samples

0 - 3 years of client service experience
Series 7 and 66 licensing required within 6 months of start date, for which UBS will sponsor the new hire
College degree required with preference for Business, Finance, or Accounting major preferred
General knowledge of capital markets preferred
The position does not support H1B visa applications
Hours 6:30 am to 3:00 pm, PST

125

PWM Client Service Associate Resume Examples & Samples

Perform general clerical duties, such as handling telephones, client mailings and creating mailing lists
Create spreadsheets and other financial reports
Increased client contact, including addressing their inquiries
Strong industry, product, and branch procedures knowledge

126

Private Wealth Client Service Associate Resume Examples & Samples

Input all cash processing functions
Manage all aspects of gifting( cash, in-kind, gift letters, Crummey letters)
Manage clients’ quarterly tax payments and annual IRA contribution/RMDs
Research and resolve overdraft situations
Prepare new account and sub account packets in conjunction with the account opening team
Assist with file coordination for quarterly administrative and investment reviews
Provide administrative support (answer phones, prepare correspondence, maintain files, coordinate meetings)
Preparation of quarterly letters and client meeting books

127

Private Wealth Senior Client Service Associate Resume Examples & Samples

Proactively anticipate and address client needs. Promptly research and bring about resolution of all client issues
Provide integral support for client service teams and special projects
Achieve and sustain a balanced approach to managing risk by ensuring compliance controls and processes (regulatory, compliance, fiduciary) are integrated into day to day activities
Contribute to a strong organizational culture through positive, collaborative behaviors resulting in client and employee engagement
Pursue continuous improvement and be a problem solver by anticipating obstacles, developing plans to overcome and looking for ways to improve
High Net Worth Clients and their external Advisors
Intermediary Network

128

Client Service Associate Brisbane Resume Examples & Samples

Provide outstanding service and administrative support to MSWM clients on phone, face to face and in electronic communications
Ensuring communication to advisor group on any administration or operational changes, including keeping up to date on relevant KYC / AML / Risk matters to ensure all work is completed in accordance with the Morgan Stanley Compliance Policy and AML Framework
Arranging establishment of super fund, pension and investment Wrap accounts
Arranging rollover of clients’ external super fund and pension accounts
Coordinate Initial Public Offering allocations and applicable client documentation
Process and monitor stock settlements, including follow up with clients regarding outstanding funds
Participate in department cross-training as required
5+ years' experience in administrative role desirable
Understanding of compliance and legal requirements within MSWM
Mature and professional phone manner
Ability to work in a team and adapt quickly to change
Experience within a broking environment highly desirable

129

PWM Client Service Associate Resume Examples & Samples

Working with clients to ensure proper account opening procedures and documentation
Providing account information to clients and Private Wealth Advisors and maintaining key client relationships
Establishing and cultivating relationships with new clients and proactively helping to resolve issues and concerns
Participating in ongoing learning and development to enhance support of Private Wealth Advisors’ business
Administrative duties such as handling telephones, mailing, filing, processing forms, travel and expenses
Comply with all industry rules and regulations and firm policies
Bachelor’s Degree required
Knowledge of Word, Excel, and PowerPoint

130

Client Service Associate Resume Examples & Samples

Coordinate and complete monthly/quarterly client reports, internal/external meeting presentations, and client service requests in conjunction with Investment Centers, Performance teams, Sales & Service, Marketing, Accounting, and other departments where necessary, accurately and within the required deadlines
Provide first tier support in addressing client questions, fulfilling standing requests, and executing ad hoc requests for clients (i.e. monthly/quarterly client reports, monthly/quarterly consultant update questionnaires, compliance requests, audit requests, changes to guidelines, etc.)
Run and lead internal and structured Platform projects alongside the Project Management team
Encouraged to thoroughly examine current processes and identify ways to incorporate increased efficiencies and the promotion of automated solutions
Internship to 2 years of financial services experience preferred
Proficient with MS Office (Word, Excel, and PowerPoint)
Interpersonal skills necessary to communicate effectively with a variety of individuals including both internal and external contacts
Ability to cooperate in a team environment

131

Senior 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

132

Client Service Associate Resume Examples & Samples

Primary contact for maintenance of up to date client files and the processing of account documentation/instructions
Work with other departments to manage/process client requests for resolution in a timely manner
Assist IA with daily tracking of transaction summaries, client activity to identify/prevent any errors or omissions
Demonstrate knowledge of, and comply with, all compliance regulations, securities laws, risk & confidentiality requirements and the TD Codes of Conduct & Ethics
Be aware of and maintain knowledge of financial markets and current/world events

133

Client Service Associate Resume Examples & Samples

Handles incoming phone calls
Opens and distributes mail
Mailings - Financial Standard, Calendar, and special events
Order and maintain office supplies as needed
Develops and maintains written systems of all activities
Maintain files for prospective clients
Open new accounts for new and existing clients
Process beneficiary changes, ACH debits & Credits as needed
Assist clients with paperwork

134

Client Service Associate Resume Examples & Samples

40% Administrative Assistance
Schedule client appointments and prepare agendas/ forms for appointments
Conduct client appointment reminder calls and check-in calls on follow up items
Assist the planning assistant(s), paraplanner(s), associate financial advisor(s) and advisor(s)
Maintain files and records in accordance with the records retention policy
Assist advisors in managing social media and website
Business-as-usual projects such as filing, copying, researching printer problems, and/or organizing the logistics of a client seminar
40% Business/Building Management
Maintain practice financials and manage office expenses within a budget
Order supplies and other office related items
Manage equipment and facilities including equipment maintenance and cleaning service contracts
Review work methods and procedures for possible quality improvements and efficiencies; implement them when appropriate
Responsible for submitting sales tax on rental income collected
Manage lease agreements on behalf of advisor for tenants of building
Collect Rent
Coordinate with bookkeeper
Manage invoices for room rentals
Oversee vendors such as cleaning crew
20% Client care
Greet clients upon arrival and extend hospitality to clients
Track client special events and make appropriate contact per established client contact model
Assist Director of Operations with business processing as needed
Update mail and check log

135

Private Wealth Management Client Service Associate Resume Examples & Samples

Ability to pass the series 7 and 66 license exams
College Degree recommended
Detail and service oriented
Problem analysis and problem solving skills
Excellent Organizational and planning skills
Innovated thinker
Open to learning new skills and responsibilities

136

Client Service Associate Resume Examples & Samples

Assist in team's marketing efforts with planning regular client seminars/events, occasional writing or editing of marketing pieces and leveraging social media
Develop action plans to improve team efficiency, practice management, client experience
Participate in client meetings and the IWP process
Sales support by identifying sales opportunities/reciprocal referrals and assist IA in preparation for client meeting
Take ownership to resolve issues and resolve issues, complete requests and follow up to ensure client satisfaction
Minimum 3 years experience in a full service brokerage business required

137

RJ Bank-client Service Associate Resume Examples & Samples

Establishes new client accounts utilizing industry registration requirements
May 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
Provides support as well as assist in on-the-job training of CSA I associates
Serves as a liaison between branches and other home-office personnel in a call center environment
Provides support and direction regarding required operational processes, policies and timeframes
Learns and interprets department policies, procedures and requirements
May evaluate client documentation received from branch/FA and/or client for processing and approval utilizing the document imaging and workflow systems
Educates FA’s and home-office personnel on the use and maintenance of systems required for opening, maintaining, and documenting client accounts
May recommend changes to existing policies and procedures
Operating standard office equipment and using required software applications to produce correspondence, reports, and electronic communications
Organization skills and attention to detail sufficient to handle high volumes of phone calls requiring quick analytical and supportive responses
Organize and prioritize workload to meet deadlines
Constructively work under stress and pressure when faced with high volume and deadlines
Provide courteous, timely service when addressing client issues and transactions

138

Client Service Associate Resume Examples & Samples

Assist in Center events that support our corporate responsibility and citizenship objectives
Represent PB and TDBG to the general public in a professional manner
Be involved in your community and support TDBG charity and community initiative

139

Client Service Associate Resume Examples & Samples

In partnership with an external salesperson, work within a defined geographical territory to cultivate and manage client relationships
Ensure timely response to client inquiries and provide ongoing communication with clients/prospects, including the compilation and distribution of recurring client requests
Assist with the coordination of channel-wide and territory-specific meetings, client events and conference calls, tracking engagement and effectiveness following the events
Serve as point-person on certain national relationships to coordinate activities and filter updates to the respective team members
Organize and analyze marketing data to ensure leads are being communicated to and vetted by the appropriate representative
Contribute to the overall sales process by identifying opportunities to promote Lazard’s products and services through different digital, print and in-person marketing efforts
Relevant experience in an investment management or consulting firm
Strong quantitative and qualitative reasoning ability, with the capacity to understand inner workings of investment strategies and represent them in appropriate detail to an audience

140

Client Service Associate Resume Examples & Samples

Accountable for satisfaction and retention of assigned portfolio through client ownership
Use comprehensive knowledge to handle all issues in a timely manner, identify underlying or hidden problems and patterns, and provide timely follow-up to the client and/or relationship team
Initiate on-site client visits to enhance the client's experience and identify future opportunities with the firm in coordination with the assigned Treasury Management Officer. Participation on client calls with the relationship team to further develop the ability to initiate independent calls
Become familiar with and take additional steps to fully understand the client's business and industry trends
Demonstrate solid knowledge of commercial treasury management products and services and assimilate new product knowledge by attending conferences, touring operations sites, and staying abreast of product updates
Proactively works to enhance clients relationships by probing for, and when appropriate, recommending and implementing service enhancements
Serve as a liaison between Relationship team, Operations, Treasury Management Sales and Implementations to provide the best service to the client, your department and the firm
Serve as a resources for junior team members as needed including training new team members as requested by management
Identify and control risk to prevent fraudulent account behavior and potential fraud exposure by understanding the interrelationship between the fraud products offered by the firm
Demonstrate strong ability to prioritize daily workload to maximize productivity utilizing strong time management and organizational skills
Project a confident and professional image to our clients, other bank departments and the community at all times
Demonstrate strong team building and interpersonal relationship skills and developing leadership skills
Demonstrate a strong desire to exceed client expectations by going above and beyond and consistently demonstrating a proactive approach
Ability to work independently with minimal supervision and escalate complex or sensitive issues as necessary to resolve customer requests in a timely manner
Adhere to all department and firm policies and procedures and upholds the firms risk and control environment
Relentless and versatile learner with an aptitude for assimilating new industry, company, product or technical knowledge
Demonstrated, consistent professional presence with the ability to adapt to evolving needs and situations
Ability to work independently and as an effective team member
Refined professional presentation skills and face-to-face client servicing background
Highly organized with ability to manage competing priorities
College degree preferred, or equivalent work experience
Minimum of three years to five years of customer service, operations, sales or portfolio management experience, preferably with work experience primarily in banking or the financial service industry
Proficient PC skills including Word, Excel and PowerPoint

141

Client Service Associate Resume Examples & Samples

1+ years financial and/or investment management industry experience
Proficiency of Microsoft Suite of Products (Outlook, Word, Excel and PowerPoint)
Knowledge of various communication vehicles – including print and electronic
Knowledge of the investment industry
Progression toward CFA or MBA preferred
Strong project management, coordination and relationship management skills
Keen sense of detail
Strong ability to multi-task, prioritize and manage tight timelines
Ability to work independently while also acting as a team player with strong interpersonal skills

142

Private Client Service Associate Preferred Candidate Identified Resume Examples & Samples

Strong organization skills, detail oriented and able to multi-task and prioritize work load
Committed to completing adminstrative tasks within designated time frames
Excellent communication skills, self starter and team player
Previous experience demonstrating positive relationship skills both with clients and within a team
Receptive to learning; critical thinker; comfortable asking questions to better understand complex situations
Experience in the financial services industry in one or more sectors; career aspirations in the Trust industry an asset

143

Client Service Associate, Brisbane Resume Examples & Samples

Client on-boarding, including preparation of Account Documentation, creation of client record in MSWM systems, arranging relevant sign-offs from branch management and liaison with Operations team to ensure timely and accurate creation of account
Arrange and assist with client asset transfers, including CHESS sponsorship, off-market, broker to broker and issuer transfer of securities
Coordinate client seminars, conferences and presentations as required by Adviser team
Technical/Specialist skills/competencies
Goal-oriented with demonstrated drive and initiative
Finance, Business or Economics degree well regarded but not essential
Recognised industry studies preferred but not essential

144

Citigold Private Client Service Associate Resume Examples & Samples

Pro-actively reaching out to CPC clients or their delegated individuals on a monthly basis as part of the relationship service activities
Act as a the primary contact for CPC clients on service issues and queries ensuring timely and satisfactory resolution. Pro-actively take initiatives and ownership to resolve client’s issues and queries
Ensure seamless service operations during CPC RMs absences
Responsible of CPC clients’ banking queries, delivering the highest quality of service in coordination with all the internal stakeholders while aligning with the respective CPC RM
Coordinating the CPC Account Opening with the respective units ensuring the CPC Account opening is prioritized and opened within the expected TAT with the highest possible delivered and seamless experience
Work with other departments to escalate issues, mitigate problems and make suggested improvements
Be proactively involved in team meetings, leading projects and constantly seeking feedback
Coordinate and manage the workflow among back, middle and front offices Be a team player and share knowledge, information and best practices with colleagues
Assist CPC RMs to develop and implement bespoke client portfolio management strategies (where possible) which includes but not limited to a client’s scheduled contact program
Subject to Qualifications (internal and external), to provide execution-based non-advisory investment transactions in response of clients’ needs and maintaining existing investments in their portfolios
Respond promptly to all clients’ requests in relation to non-advisory trades
Assist in providing and maintaining accurate records
Cooperate and work in close coordination with other Service Team members i.e CSOs and share the workload and serve non-CPC clients when required
Additional Responsibilities and tasks maybe requested by the Service Unit Head/Team Leader based on the business need and requirement in addition to any assigned goal within the scope of Service Model
Proven experience working in a servicing role within the Financial Services sector with a Wealth management experience is preferred
Demonstrates extensive knowledge of all banking systems, platforms and capabilities
Fluency in spoken and written English
Dual language capabilities (English is a must; Russian, Arabic and Greek languages are assets
University graduate or equivalent
Citi certified – already acquired or willing to be certified within 1 month of joining
Holding RDR level 4 qualifications or equivalent
Min 2-3 years of experience in client relationship management and servicing in the wealth management field

145

Senior Client Service Associate Resume Examples & Samples

Bachelor’s degree (Business, Economics, Finance) required
5+ years in client facing role
Prior work experience in the asset management industry
Prefer 5+ years’ experience with a strong emphasis on writing projects
Past experience in service related to institutional clients&#8217
Demonstrated competence and judgment with confidential or private information
Excellent organizational skills; ability to initiate, plan, prioritize and conduct multiple projects successful
Advanced MS Office skills

146

Private Client Service Associate Resume Examples & Samples

Act as a primary contact with regards to account administration and day-to-day inquiries (e.g. account maintenance, portfolio administration, cash transfers, etc.) in a courteous and professional manner, while exercising tact and discretion
When in contact with a client, be proactive in looking for opportunities to deepen the client relationship and increase the number of wealth and TD services that clients participate in. Document opportunities for Portfolio Manager follow up
Prepare the Portfolio Manager for the Annual Client Review (ACR) by producing an enhanced ACR agenda, identifying partner referral opportunities, highlighting the current fee schedule and ensuring all pending/missing documents (e.g. KYC, IPS, CIP etc.) are completed and update to date in the CRM
Play a lead role in identifying the clients to be proactively contacted by the Portfolio Manager/Private Client Service Associate on a weekly/monthly basis, in order to provide a legendary client experience
In order to support a legendary client experience, work in an integrated manner with Center Partners for shared clients
Assist Portfolio Manager(s) with the initiation of the IWPS by inputting as much salient data (received from the Portfolio Manager) as possible and through report creation
Assist the Portfolio Manager(s) in the preparation of proposals, client correspondence, presentations, marketing and other materials for clients, prospects and partner meetings, as required
Follow-up to ensure model instructions and trades submitted by the Portfolio Manager are executed correctly and in a timely manner
Maintain an accurate and current database of relevant client information (Janna), including diarized transfer requests, statement issues and special projects (e.g. year-end valuations, tax and cash requests)
Assist the Portfolio Manager(s) with the preparation of the Annual Portfolio Plan by leveraging client information such as existing TD and Wealth products, subject to information availability
Maintain continuous compliance with industry regulations and TDBF/PIC policies and procedures, including but not limited to
Contribute to a positive work environment and improve team dynamics, while assisting with client events and office functions
Support a team oriented environment by sharing information and offering support to coworkers
Complete a Personal Development Plan to achieve ongoing professional development and maintain working knowledge of the securities and financial services industry through continuing education (use L&D linked to CSA manual)

147

Client Service Associate Resume Examples & Samples

Execute market orders and respond to client inquiries promptly and accurately
Ensure satisfactory resolution of client inquiries and take ownership of coordinating responses with other branches/departments as necessary
Process client applications and transfers in a timely manner;Execute market orders and respond to client inquiries promptly and accurately

148

Client Service Associate Analyst Resume Examples & Samples

Under general direction, this individual will administer Health & Welfare benefit plans (medical, dental, life insurance, disability, flexible spending accounts, COBRA, etc.)
Responsibilities include: the preparation and processing of cyclical deliverables
Identifying, researching and resolving data discrepancy problems
Reconciling applicable financial reports with third party data
Researching and responding to inquiries from management, other personnel, plan participants, and the client
Reviewing system test plans and control groups; performing end user testing; monitoring the quality and aging of tasks in designated systems and producing reports
Developing processes and procedures from client provided documentation and coaching and/or training other team members and some participant call handling
May perform one or more of the following: Analyzes, plans and implements process improvement (such as Six Sigma initiative) needs
Produces new process improvement techniques and services.Develops metrics that provide data for process management and indicators for future improvement opportunities
Measures performance against process requirements, aligning improvement projects to close performance shortfalls
Minimum 5 years experience in H&W benefits admin
Knowledge of H&W benefit plans preferred
Candidate must be detail oriented and hard working
Candidate must have excellent oral and written communication
Candidate must have the ability to work autonomously, with little direct managerial supervision
Candidate must have organizational and time management skills with the ability to handle multiple tasks simultaneously
Strong computer skills to include Windows, Microsoft Office (Excel and Word, required), and Internet Explorer
Clarify and BA7 preferred if an internal candidate, but not required
Strong math aptitude and decision making skills
Can work effectively with off-shore colleagues

149

Client Service Associate Resume Examples & Samples

Interacts daily on the phone and in person with prospective and existing clients including handling basic inquiries and providing quotes
Solicits and receives orders for the Financial Advisor
May service less active accounts
Trains other Service Associates

150

Client Service Associate Resume Examples & Samples

Perform quoting, underwriting, price negotiation and telemarketing efforts for assigned geographic territory. Ensure all territory pricing is competitive, underwriting is complete and accurate, and credit and profitability standards are maintained while working to exceed monthly territory budget objective and metrics
Responsible for building and developing solid agent client relationship via timely delivery of quotes, contracts and other information as requested or required by retail agent clients
Make outbound calls to improve sales, following up on and soliciting business opportunities. Track all pertinent relationship-level sales data via Contact Relationship Management (CRM) software
Report any lost quote opportunities and marketing intelligence for the territory
Work in conjunction with Loan Processing Department to review loan documents to ensure completeness, accuracy and compliance with all regulatory and operational requirements. Request any loan funding arrangements and approval of loans within assigned authority limits. Verify loan details prior to, and in some cases after, loan processing
Strong math aptitude
Associate’s degree in finance or business-related field
Commercial insurance and financial services experience
Proven internal sales performance and relationship management via account or territory management INDBBTPF

151

Client Service Associate Resume Examples & Samples

Operate as a member of a closely coordinated team of dedicated client service specialists (the Team), with a high level of collaboration
Participate in the delivery of professional liability insurance broking and risk advisory services to large professional service firm clients, primarily in the accounting firm segment
Receive client requests for evidence of insurance. Assess the requirements in collaboration with the Team. Prepare and provide the required documents
Contribute to the preparation and delivery of reports, submissions and other materials, to clients and (re)insurers
Serve as a point of contact to clients and (re)insurers seeking advice or other assistance
Participate in team calls and/or meetings as required to coordinate, maintain or further improve the Team’s service to clients and (re)insurers
Commit to training and development of performance and career with respect to the work of the Team and Aon as a whole
Time management and organization
Problem solving and decision making
Business communication, both verbally and in writing
Numerical and analytical skills, including intermediate Excel
Experience as an effective team member, collaborating across a large matrix organization
A minimum of 1-3 years’ account servicing experience in commercial property and casualty insurance
Bachelor’s degree in business, marketing, or similar relevant discipline
Illinois Property & Casualty Producers License preferred

152

Private Wealth Management Senior Client Service Associate Resume Examples & Samples

Learn the business and products in order to assist Financial Advisors
Clerical duties such as handling telephones, mailing, filing and processing forms
Knowledge of Word, Excel and PowerPoint

153

Client Service Associate Resume Examples & Samples

Minimum of 2 years working in the banking industry
Good level of business acumen and commercial awareness, including economic, cultural, procedural and regulatory issues
Excellent time management, planning and organisation skills
Strong analytical, problem-solving, technical
Strong leadership and team motivational skills
Proven coaching and performance management skills
Experience of working in an International Global Banking environment
Broad based knowledge of HSBC Group companies
Bachelors degree/College diploma in business, related field or equivalent work experience

154

Client Service Associate Portfolio Analyst Resume Examples & Samples

Minimum required: 5 years financial services experience
Desired: 7+ years financial services experience, management experience, client facing experience; Experience using Thomson platform and/or Bloomberg
Strong knowledge of financial products and services for the individual and institutional market
Proficient in Microsoft Office suite with advanced skills in Microsoft Excel and Power Point
Detail oriented including strong organizational skills
High achiever with entrepreneurial spirit
Self-motivated and relentless in seeking solutions and answers
Ability to flourish in a team environment, creating and fostering strong partnerships with team and branch employees

155

Client Service Associate Resume Examples & Samples

University degree with concentration in finance and/or economics preferred or equivalent work experience
IMC qualified preferably
Likely to have some institutional asset management experience in order to demonstrate the skill and knowledge required
General knowledge of the institutional investment management
Results focused and a self starter
Strong team player and have the ability to use own initiative
Excellent written and oral communication skills, coupled with strong interpersonal skills
Good understanding of investments and the investment process
Understanding of and exposure to institutional investors
Ability to be flexible with client needs dictating required focus
General understanding of personal computers and general knowledge of Microsoft software

156

Client Service Associate Resume Examples & Samples

High School Diploma or equivalent; prefer 2 years college or business school certificate
2 years clerical/related industry experience required; prefer 2 years of investment industry experience as well
No licenses or credentials required
KNOWLEDGE REQUIRED

157

Client Service Associate Resume Examples & Samples

Grasps concepts quickly and demonstrates knowledge of basic technical skills, as well as related knowledge of necessary systems and procedures
Makes well-thought-out decisions and considers all facts; with the best interest of the client in mind
Asks appropriate questions and requests supervision when in need of assistance
Follows regulations and professional ethics of the AICPA and the state society
Demonstrates ability to work independently on engagements or assist professional staff in
Solicits internal experts from which to learn and builds relationships
Conducts oneself professionally and shows respect to others at all times; maintains poise under pressure, especially during stressful times and during peak periods of client engagement activity
Develops and establishes rapport with fellow employees
Proactively seeks knowledge, new tasks and responsibilities
Cooperative and responsive to training, supervision and constructive criticism

158

Client Service Associate Resume Examples & Samples

Power User of multiple industry software systems including Client Relationship Management and Investment Portfolio software
Daily processing of new accounts, classification of securities and daily transaction reconciliation
Document review of custodial paperwork
Provide internal client service to offices trouble shooting and researching operational reporting issues
Assist with generating various monthly, quarterly, and annual reports and processes
Provide back up support to office CSA as needed
Four year degree in business or related field, or industry experience preferred
Desire to become a valued technical expert
Detail oriented with the ability to produce quality work in a timely and consistent manner
Technical/analytical focus
Comfortable working within defined policies and procedures
Collaborative learning style with the ability to work independently on projects
Passion for serving clients

159

Client Service Associate Resume Examples & Samples

Maintain and strengthen relationships with investors and advisors mainly through service interactions
Support the Operations and Relationship Management teams in their daily operations
Consult with operations, internal and external sales, and executive team on investor issues
Handle all in‐bound investor and advisor service phone traffic
Instigate out‐bound calls for operational issues ,preventative measures, red flags and client follow‐up
Support the sales structure and delivery of products for all customers to ensure world class customer service
Propose new ideas to senior management to enhance relationship with the investor or fulfill the investors’ and advisors’ short and long‐term expectations
Identify areas of opportunity to enhance investor and advisor experience
Develop the investor and advisor service strategy to support the growth of the business
Perform a variety of tasks; a wide degree of creativity and latitude is expected
Minimum of 2 years of experience within a service or client support role
Strong analytical, organizational and time management skills
High energy, self-motivated and confident
Solid understanding of the REIT industry, transfer agents, brokerage account types and practices as well as a solid securities brokerage background
Experience working with high‐end service
Customer service driven with impeccable communication and organizational skills
Ability to effectively manage multiple projects, prioritize, be detail‐oriented and meet deadlines

160

Senior Client Service Associate Resume Examples & Samples

Establishes and maintains relationships with a broad range of institutional clients, serving as a primary point of contact for assigned clients
Routinely analyzes customer questions, requests and problems; utilizing product and fiduciary knowledge, provides appropriate responses and solutions to clients. Determines when issues/questions requiring highly technical interpretation should be brought to the attention of a more senior level individual
Serves as technical resource to the team, utilizing available resources and a demonstrated ability to handle both standard and non-standard situations through application of systems and product knowledge. This includes knowledge of institutional investment strategies and client investment guidelines as well as analysis and explanation of performance data, attribution and investment characteristics
Responsible for workflow, production and enhancements to, client review presentations and ad-hoc material requests, working with other members of the
Client service team as necessary
Assist in coordination of Boston client meetings
Working with Business Development Directors, coordinate and participate in new business development meetings (introductory, due diligence, finals, etc.) for Middle Eastern, Asian and Australian prospects and consultants in Boston (or affiliate company location) working with appropriate support, marketing etc. teams
Coordinates with other areas within Eaton Vance to ensure that high quality and comprehensive client service is provided to all clients, in accordance with defined parameters. Provides project leadership/management to initiatives that will enhance Eaton Vance’s ability to service institutional clients
Frequent direct contact with client base by phone and email and at times, in person
Participates in broader institutional projects as needed

161

Client Service Associate Resume Examples & Samples

Executing investment buy and/or sell orders
Analyzing reports to determine appropriate action to be taken on behalf of client accounts
Researching client issues
Preparing client documents
Maintaining files
Greeting clients in the office
General office management

162

Client Service Associate Resume Examples & Samples

Receive capital call notifications from sponsors
For a subset of sponsors, log into sponsor’s website to pull data at the account level and provide to Alternative Investment Team
Verify available funds in the client accounts to meet capital call bank wire needs
Communicate to the Advisor any accounts that have insufficient funds
On capital call date, confirm wires were successfully processed
Provide reconciliation, receipt tracking, and processing of valuation updates for hedge funds and private equities
Perform NIGO research and conduct client call-outs to resolve issues
Ownership of client accommodation needs regarding service, trading and problem resolution issues, with clear responsibility to escalate issues as appropriate within the team
Assist with prefill applications/forms
Enhance customer experience by delivering the highest level of processing excellence as defined in Customer First principles
Maintain and enter data into the brokerage systems including: account maintenance; processing; disbursements; securities; Transfer of Assets; new accounts; processing groups; cashiering; adjustments; bank wires and journals
Facilitate point of contact resolution of priority requests and customer problems
Series 7 & 63 licensing required or obtained within first 6 months
1-3 years in financial asset/brokerage servicing with an emphasis on customer service
Experience with High Net Worth Taxable Client Base is a plus
Strong interpersonal skills and the ability to deliver highly personalized service to a small group of high profile clients
Exceptional client service phone skills
Attention to detail and quality a must
Solid organizational skills, with proven ability to multi-task, prioritize and meet deadlines
Professional team player with a positive, self motivated attitude; capacity to think "outside the box"
Ability to work in a fast paced deadline oriented environment
Displays excellent problem solving and analytical skills
Experience with Fidelity mainframe systems: FBSI, CACTUS, and XTRAC preferred

163

Client Service Associate Resume Examples & Samples

At least 1-3 years of related experience; BS/BA degree or equivalent experience preferred
Ability and desire to work in a fast paced sales oriented environment (maybe demanding or unstructured work environment)
Proven ability to handle pressure, multi-task and prioritize work at all times
Outstanding skills using personal computers in a Windows-based environment (including Microsoft Office Suite)
Hearing must be sufficient to understand a conversation at a normal volume, including telephone calls and in person
Position involves sitting most of the time, but may involve walking or standing for brief periods of time

164

Client Service Associate Resume Examples & Samples

Perform administrative duties including daily transaction processing for cash and securities transfers, check requests, gifts, deposits, routine client information requests and updating client information
Manage incoming and outgoing client correspondence and associated internal communications while adhering to document management and retention practices
Maintain files, including the documentation of meetings and client correspondence in the CRM client information system
Review overdraft reports and other daily reports for accuracy and provide information on needed action/follow up
Make arrangements for client meetings, including scheduling, dining services, travel, security and other related activities
Independently handle certain complex to moderately complex client (internal and/or external clients) inquiries. Undertake research to respond to client requests, take needed action and keep all relevant parties informed. Cover situations that arise when other team members are out of the office
Prepare client meeting materials in collaboration with relationship teams using systems available for meetings and coordinate with investment, tax or other departments to ensure deadlines are met
Open and close accounts and portfolios such as Investment Advisory, IRA, Roth IRA’s and Trust Accounts as directed
Coordinate with Securities Operations and other business partners until transactions or matters are resolved to full completion
Assist in the completion of expense reports and other internal tasks for professionals in the office as directed
Perform word processing, filing, copying, scanning, faxing, mailing and other administrative tasks as directed, as well as independently prepare correspondence
Participate in special projects and perform other duties and assignments as required by the position
Assist in the reception of client guests and answering of office phones as needed
Minimum of two years of experience in financial services area desirable, preferably in fiduciary environment
Command of Microsoft office and proficiency with various electronic tools and systems to fulfill daily responsibilities, including document management, investment reporting, and transaction processing
Knowledge of Salesforce.com applications desirable
Proven ability to interact effectively with other professionals on a daily basis
Excellent verbal and written communication skills/pleasant telephone manner
Self-starter with a great deal of initiative
Full understanding of client privacy and confidentiality
Excellent interpersonal skills with a demonstrated ability to respond to client inquiries and interact with clients face-to-face and over the phone

165

GTB Client Service Associate Resume Examples & Samples

Service clients on a daily basis with respect to all inquiries and requests
Implementation of client risk parameters and ensuring a systematic / manual control is in place
Assist in tracking / monitoring of client guidelines/restrictions on a daily basis with an eye towards streamlining
Assist in tracking pertinent client information: CTO documentation, Agency Lending Agreement, Amendments
Assist in the preparation of periodic client reporting packages (i.e. audits, GASB, benchmarking, customization requests)
Assist in the preparation of periodic client performance review materials
Obtain understanding of proprietary reporting system in an effort to respond to client inquiries, monitor compliance parameters and respond to customized report requests
Liaison with Traders / Ops / IT / Clients / Custodians to streamline implementation process and ensure all inquiries are resolved and requests are completed
On-going communication with Clients, Operations, IT, Custodians and DBAM to identify and implement efficiencies
Feels comfortable speaking to clients on a regular basis
Feels comfortable in establishing contacts in other departments
Takes ownership of problems and issues and single-handedly solves them
Used to working on a team and to interact with various divisions simultaneously
Close attention to detail and is well organized
Being prepared to address different kinds of issues (tax, operational, IT, trading)
Good self-motivation
Previous Securities Lending Client Interaction preferred
General understanding of financial instruments and the financial markets

166

Client Service Associate Resume Examples & Samples

Gain and develop thorough understanding of applicable IRS regulations as they apply to qualified retirement plans, including 401(k) plans
Gain thorough understanding and maintain current knowledge of applicable IRS code sections
Gain and develop skills necessary to interpret the plan document and regulations applicable to administering qualified retirement plans
Gain and develop proficiency in industry software applications, databases and spreadsheets
Data input and processing of plan transactions
Daily reconciliation of plan accounting to trust assets
Gain and develop full understanding of clients and their plans. Develop in-depth understanding of each client’s sensitivities, plan design and needs and objectives with respect to their benefit plans
Manage day-to-day client relationships for assigned clients
Proactively manage accounts by setting appropriate expectations
Address all issues brought to Milliman by plan sponsors and external partners in a timely and professional manner
Respond to client and participant inquiries, resolve service issues and demonstrate a proactive solution-based approach to enhance client relations
Monitor plan parameters and administrative operations to ensure compliance with plan document provisions, as well as applicable governmental rules and regulations
Work with clients to "clean" census data. Monitor data issues on a timely basis
Monitor all participant and plan-specific contribution limits and plan-level deductibility limits. Prepare required testing and execute corrective measures
Prepares annual plan audits and government filings and act as primary contact with plan auditors during audits
Calculate and/or allocate employer contributions, profit sharing, match, match true ups, etc
Track minimum required distributions for the plan. Calculate distributions and communicate with plan participants as needed
Deliver the highest quality of service to clients, associates and management
Demonstrate professional conduct within the team and with the internal and external partners
Respond to internal and external partners in a timely and professional manner
Proactively communicate with all key stakeholders
Demonstrate commitment to teamwork and a positive attitude
Bachelor’s degree in Accounting, Finance or Math; or in Business Administration with an emphasis in Accounting and Finance, or other degree or work experience that requires similar skill set will be considered
Works well within a team environment and takes ownership of personal work product
Proficiency in the use of computers and other general office equipment
Excellent Problem solving skills
Able to productively respond to change

167

Sales & Client Service Associate Resume Examples & Samples

Bachelor’s degree in Marketing, Finance, Business, Economics or Management. Other majors will be considered as well if the candidate has demonstrated interest in Sales and Client Service
Strong customer orientation and an eagerness to excel and be a part of a dynamic, fast growing team
Exceptional communication and critical thinking skills
Proven experience in a customer service role or contact center would be beneficial but not essential
Exposure to financial industry, banking and/or financial markets would be beneficial but not essential

168

Client Service Associate Resume Examples & Samples

Bachelor's degree or equivalent
May need to become an associated person of Princor, which requires fingerprint and a full background check
Requires good written and verbal communication, interpersonal, basic math, organizational, reading comprehension, interpretation, and negotiation, analytical and problem solving skills
Requires basic knowledge of plan and contract documents, manuals, procedures, and company products and services
Must have ability to balance working independently with working in a team environment to meet customer needs and achieve overall Pension goals
Must possess a basic understanding of accounting and recordkeeping systems and PC applications

169

Client Service, Associate Resume Examples & Samples

Tertiary qualifications in finance, economics or commerce
Prior experience in financial services industry, particularly in asset management
Extensive computer skills (Microsoft Word, Excel & PowerPoint)
Comfort in adapting to proprietary systems
Client focused attitude
Effective communication skills, both written and oral
Ability to adhere to deadlines and work well under pressure
Ability to manage and prioritise multiple projects
Ability to plan and meet multiple deadlines within a fast paced, high pressure environment
Demonstrated ability to be an effective team player
Proven ability to connect the dots across operating functions

170

Client Service Associate Resume Examples & Samples

Answering client calls while providing friendly superior client service in addition to working to resolve issues or service requests they may have
Must be able to work in a fast paced, ever changing environment while maintaining a high level of professionalism and accuracy
Schedule and coordinate meetings, conference calls and other events
Prepare documents/forms and other material in preparation for meetings with clients or prospects
Print client review reports, and assemble analysis and quarterly review reports
Open new client accounts, obtain required information, verify accuracy, and enter data in to the system. Set up and maintain related confidential files and documentation
Perform miscellaneous admin duties, handling incoming and outgoing correspondence, incoming phone calls, greeting clients, prepare expense/mileage reports, filing, copying, scanning, faxing, maintain office compliance files
Assist in providing financial planning and investment services to clients
Manage and maintain multiple calendars using Microsoft Outlook
General Support of Chief Compliance Officer and Investment Operations Manager
Ability to handle sensitive and confidential material in a responsible manner
Bookkeeping for Wealth Management division
Minimum of 5 years of experience in the financial/insurance industry or professional sales support
Proven ability to multitask and ability to prioritize
Above average proficiency in Microsoft Office Products
High attention to detail and accuracy while meeting deadlines
CRM software, cloud based storage
Bachelors or Associates degree in a related field
QuickBooks / Accounting software

171

Registered Client Service Associate Resume Examples & Samples

Efficiently manage inquiries from NIC/CWM FAs and Clients for New Account Opening/Asset Transition
Strong problem solving and decision making skills, combined with an understanding of regulatory requirements are
Interprets procedures/ instructions to resolve problems within established policies and procedures, while adhering to
Understands how assigned duties contribute to the work of the team/unit and how the units coordinate their efforts and
Ability to build rapport over the phone
Ability to be flexible with work schedule to include weekends and evening
Proven success working in a team environment
Solid work ethic, professionalism, and positive attitude
Ability to thrive in a dynamic work environment Required Licensing
Active Series 7,63, 65 or 66
College degree preferred, or equivalent work experience
Minimum of 1 year Investment Industry experience Bi-lingual Skills Spanish or Mandarin/Cantonese language skills

172

Client Service Associate Resume Examples & Samples

Initiate on site client visits to enhance the client's experience and identify future opportunities with the firm in coordination with the assigned Treasury Management Officer. Participation on client calls with the relationship team to further develop the ability to initiate independent calls
Serve as a liaison between Operations, Treasury Management Sales and Implementations to provide the best service to the client, your department and the firm
High self-esteem, confidence, poise and professional behavior with the ability to adapt to rapid change
Refined professional presentation skills and face to face client servicing background

173

Client Service Associate Resume Examples & Samples

Understand client issues, be responsible for providing timely follow-up to clients and be accountable for client satisfaction through the ownership of the problem
Resolve issues by identifying underlying or hidden problems and patterns
Build knowledge of commercial treasury management products and services
Identify and control risk to prevent fraudulent account behavior and potential fraud exposure
Prioritize daily workload to maximize productivity utilizing time management and organizational skills
Follow all established policies, procedures and practices
Project a confident and professional presence to our clients, other bank departments and the community
Team building skills and interpersonal relationship skills
Desire to exceed client expectations
Expected to work independently with supervision and escalate complex issues as necessary to resolve customer requests in a timely manner

174

Client Service Associate Resume Examples & Samples

3-6 years of relevant experience in the investment/ hedge fund industry
Strong written communications skills
Advanced Microsoft Office skills (PowerPoint, Excel and Word)

175

Client Service Associate Resume Examples & Samples

Bachelor’s degree (Business, Communications, Public Relations) required
1-3 years in client facing role
Prior work experience in the asset management industry a plus
Prefer 1-3 years’ experience with a strong emphasis on writing projects
Strong written, oral and interpersonal communication skills
Able to work with limited supervision; self-motivated; detail oriented; good interpersonal skills; and adaptable to change
Ability to work under pressure and beyond standard hours during busy periods to meet tight deadlines

176

Client Service Associate Resume Examples & Samples

Understand the client’s organization and procedures
Understand the client’s overall business needs and identify value-added services that Mariner can provide
Adhere to ethics and associate code of conduct policies and, as appropriate, communicate the same to subordinates
Bachelor’s degree in finance, accounting or other business related field preferred
Two or more years of related work experience in financial services and high net worth client service or equivalent academic training

177

Claims & Sales Client Service Associate On-call Resume Examples & Samples

Research/Problem Solving: Analyze broker and group initiated inquiries to ensure satisfactory resolution within specified time frame using information systems and other inter-department resources
Identify and report purchaser/channel trends to appropriate internal stakeholders for quality control and root cause analysis
Conducts claims research, benefit administration interpretation, and provides group specific EOC guidelines to ensure appropriate coverage per plan
Review claims for accuracy and research discrepancies through a variety of systems then reports findings and requests the appropriate resolution measures
Ensures rates are based on final enrollment and resolves discrepancies
Researches and resolves complex urgent issues requiring a high level of insurance knowledge and interpersonal skills
Request audits and adjustments as necessary to member accounts
Follow up with group representatives on a wide variety of sales /benefit related inquiries, distributes workload and acts as a resource to sales staff
Provide a wide variety of situation specific correspondence
Process cancellation and changes to group and individual accounts, analyzes new, active and renewing small group accounts for eligibility, rate structures and final rate calculations
Responds to Medicare questions and helps in transferring client information to appropriate Medicare Sales
Coordinates with Consolidated Services Center to ensure enrollments process is done accurately and completely
Knowledgeable in underwriting criteria. Requests medical review and group financial information as necessary
Maintain new sales leads by entering them in the database and/or spreadsheet for Small Group and Individual & Family Health Plans
Responsible for assisting group administrators/brokers in demonstrating & teaching KP online technology
Assist Sales Executive & broker/purchasers with post-sales support & account implementation
Provides reports and compiles data weekly and monthly in the support of Individual & Family L.O.B. and Commissions
Email review and responding: Highly effective written/oral communication with brokers/employers groups on all issues received by department
Partners with appropriate individuals to resolve and respond to broker/employers email or written requests involving claims, benefits, policy interpretation, transition of care, and open enrollment
Two (2) - three (3) years of claims experience OR three (3) - four (4) years of working in a health care benefits or health plan sales and marketing environment
Customer service skills demonstrated through prior work experience

178

Registered Client Service Associate Resume Examples & Samples

Assist financial advisor in the preparation of written Client Service Review materials and financial planning/investment letters and proposals
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
Prepares and ensures new business paperwork processes which may include preparing forms, obtaining appropriate signatures, preparing documentation and coordinating rollovers
Interact with clients, peers and corporate office employees to solve problems, facilitate operations and solicit information as needed
Implement trades, transactions and money movements as directed by advisors
Review client financial statements, documents and other data
Prepare financial planning recommendations for the client
Provide investment and financial planning research

179

Client Service Associate Resume Examples & Samples

Communicate directly with financial adviser clients on fund information and service offering
Assist in update of marketing materials and charts, including website and newsletters
Update performance figures, money reports, board reports etc
Liaise with WRAP providers with regard to Financial Adviser client relationships
Develop robust understanding of adviser business practices
Develop knowledge of internal software (e.g. Asset Allocation tools)
Develop understanding of capital market research and application to portfolio management
Update and maintain client database and help to keep robust client records
Regular travel to Dutch based events as needed
Ad hoc projects for the Dutch business

180

Client Service Associate Resume Examples & Samples

Client contact management
Produce reports, compose a variety of correspondence and assemble documentation in advance of sales presentations
Maintain accurate marketing materials and assist with marketing mail out activities and events
Ensure all client inquiries and needs are handled promptly and accurately
Provide market quotes and conduct trades
Participate fully as a member of the team and contribute to a positive work environment. Share expertise of position relevant information and any changes discovered
Maintain current knowledge of, and comply with, all compliance regulations, securities laws, risk & confidentiality requirements and the TD Codes of Conduct & Ethics
Possess excellent communication skills and have a proven ability to deliver a high level of client service
Must be highly proficient with Outlook, Word and Excel, and have the ability to learn new software systems quickly
Must have an interest in the investment industry and have general knowledge of financial products

181

Client Service Associate Resume Examples & Samples

Handling client queries for FAQs seeking help from others where necessary
Strong communication and collaboration skills
Experience of participation in large-scale collaborative projects
Ability to produce results to tight deadlines and manage multiple tasks at one time

182

Senior Client Service Associate Resume Examples & Samples

Assist/support Private Wealth Directors with client requests
Research and complete intermediate/complex portfolio inquires
Resolve intermediate/complex issues
Serve as internal Subject Matter Expert on various topics
Manage/participate in client meetings/calls
Review/research legal agreements and disclosures
Manage/participate in projects
Stay educated on Franklin Templeton Sales initiatives
New fund launches
Fund mergers/closures
3-5 years Investment Management Industry plus 2 -3 years sales support/or client services essential
High quality level of Client/Customer Service orientation
Excellent analytical skills with attention to details
Ability to communicate effectively both orally and in writing and to establish and maintain cooperative working relationships with persons contacted in the course of performing assigned duties
Above average ability to manage client meetings
Above average ability to manage multiple tasks and meet strict deadlines
Ability to perform in a fast paced, team environment
Strong Organizational skills Microsoft Office skills
Advanced: Excel, Word,
Intermediate: PowerPoint, Visio
Ability to exercise independent judgment consistent with department guidelines

183

Client Service Associate Resume Examples & Samples

Support PM’s by providing service and support functions such as portfolio analysis, account creation and maintenance, and client/prospect meeting preparation
Collaborate with team members to provide exceptional service as well as devise customized financial strategies for existing and prospective clients
Interact with clients, supporting all aspects of their servicing needs related to the management of their relationship, researching client inquiries and managing follow up communication and materials
Enter trades on behalf of the client either alone or from the direction of the PM
Support PM’s in completing special research projects on capital markets, asset classes, mutual funds, and money managers
Construct client performance and asset allocation reports along with recommended portfolio changes
Assist in business development efforts and help prepare RFP responses

184

Client Service Associate Resume Examples & Samples

Relevant Experience - prefer candidates who have worked directly with a financial advisor, financial planner, broker or insurance agent, preferably in a supporting capacity. Will also consider candidates with more general financial industry experience who can demonstrate a mastery of skills required to be successful in this role
Computer Skills - Must be proficient in MS Office, CRM applications, internet research. Experience with EMoney Software & ACT! a plus
FINRA Series 6 or Series 7, Insurance License a plus
Communication Skills - This is a client facing role via phone, e-mail and in-person. Ideal candidate will have excellent writing skills, a pleasant phone manner, a friendly and approachable demeanor, can-do attitude and polished professional appearance
Client Service Aptitude - Our business is most successful when our clients are happy, so we need people on our team who provide the highest level of service to consistently exceed expectations
Time Management - Be able to prioritize an ever-changing workload and multi-task effectively to meet deadlines while maintaining a high quality work product
Organization Skills - This is a very fast-paced environment, so candidate must be able to work on and keep track of several things at once, ensuring that tasks are completed and goals are reached in a timely manner. Must have an excellent eye for detail and be organized

185

Registered Client Service Associate Resume Examples & Samples

Efficiently manage inquiries from CWM FAs and Clients for New Account Opening/Asset Transition
Strong problem solving and decision making skills, combined with an understanding of regulatory requirements are required to perform job functions
Interprets procedures/ instructions to resolve problems within established policies and procedures, while adhering to banking and brokerage regulatory requirements
Works under little to no direct supervision while performing job duties
As required, may train lower level team members
Applies working knowledge of technical and professional principles and concepts and in depth knowledge of team objectives; and, impacts the business by ensuring the quality of the tasks or services provided
Understands how assigned duties contribute to the work of the team/unit and how the units coordinate their efforts and resources to achieve the objectives of the function

186

PAS Client Service Associate Resume Examples & Samples

Client Correspondence:Processing of overnight and regular mail. Examples include AVF’s, Fee Aggregation forms, Thank You/UAR letters, etc. Upon series 9/10 completion, CSA’s will be able to sign off on incoming and outgoing correspondence
Risk Management Reports: Analyze and resolve daily and weekly risk reports and escalate high risk items to Client Management Associate and Team Manager. Examples include Daily FPP End-to-End report, Daily Status Memo, Weekly Risk Reports, APS Save vs. Submit report, etc
Complex service/Research requests:Work with OSG/Back Office to resolve funding and other complex service issues. Create and see to completion fee waivers/discounts, reassignment requests, etc. Assist in resolving service recoveries initiated by PAS Ops/Compliance
Monitor Work Queues: Work and resolve items received in the funding Xtrac and biz fax queues
Series 7 and 63 required. Series 66, 9, & 10 licenses are strongly preferred. Required within 120 days
Strong problem resolution skills with a mindset towards risk/compliance

187

Private Wealth Management Client Service Associate Resume Examples & Samples

Synthesizing client/prospect data to develop customized allocation reviews and developing proposals and presentations for prospects and clients
Navigating the firm effectively and efficiently by interfacing with various departments on behalf of team to collect information, respond to requests and coordinate meetings
Independently assisting clients with market and stock research
Complying with all industry rules and regulations and firm policies
A minimum overall GPA of 3.5
Series 7 & 66 to be obtained after hire
Advanced knowledge of Word, Excel, and PowerPoint
A strong desire and commitment to understand global capital markets
Ability to multitask in a fast-paced environment, often under pressure

188

Client Service Associate Resume Examples & Samples

Bachelor's degree or equivalent experience required
1+ years of related experience preferred (non-qualified retirement plan, qualified retirement plan, or financial services experience preferred)
Minimal travel may be required including overnight stays (1-3 times per year)
Must have ability to balance working independently with working in a team environment to meet customer needs and achieve overall practice goals
Occasional overtime may be required

189

Senior Registered Client Service Associate Resume Examples & Samples

Assists Financial Advisors with marketing efforts including seminars, mail outs, etc
Receives and processes securities
May provide investment advice on less active accounts for the Financial Advisor or for their own accounts
Company’s working structure, policies, mission, and strategies
General office practices, procedures, and methods
Financial markets and products
Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment
Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels

190

Client Service Associate Resume Examples & Samples

Assist in preparation, printing and binding of presentation materials for prospect and client meetings
Coordinate new account opening to include compiling client profile information, form generation and system setup
Required: Strong computer skills, MS Office and web. Desire and ability to work in a team-based environment. Commitment to provide superior client service. Demonstrated ability to earn the trust and respect of clients and peers. Extremely high level of personal and professional integrity. Interest in financial services
Desirable: Experience in the financial services industry. Knowledge of investments or the financial planning process

191

Client Service Associate Resume Examples & Samples

Fluent Italian speaker in written and oral communication
Relevant experience in an investment industry client-service related area with a sound understanding of the Italian market
Exposure to any project management experience would be highly desirable

192

Client Service Associate Resume Examples & Samples

Coordinate and complete monthly/quarterly client reports, internal/external meeting presentations, and client service requests
This will be done in conjunction with Investment Centers, Performance teams, Sales & Service, Marketing, Accounting, and other departments where necessary, accurately and within the required deadlines
Provide first tier support in addressing client questions, fulfilling standing requests, and executing ad hoc requests for clients
This includes monthly/quarterly client reports, monthly/quarterly consultant update questionnaires, compliance requests, audit requests, changes to guidelines, etc

193

Client Service Associate Resume Examples & Samples

Maintain accurate marketing materials, assemble required documentation in advance of sales presentations and assist with a wide range of marketing activities
Assist the team with pro-active client engagement strategies and reporting
Possess Technology and Portfolio Management skills with familiarity of the markets

194

Registered Client Service Associate Resume Examples & Samples

Participates in and receives cross-training, as well as assists with other operational functions as required
Handle stressful situations and provide a high level of customer service in a calm and professional manner
High School Diploma or equivalent and minimum of two years financial services industry experience

195

PWM Client Service Associate Resume Examples & Samples

Preparing performance measurement for clients, which involves computing account performance, analyzing investment portfolio holdings, and generating quarterly investment performance monitors
Finance major preferred
An ability to understand and interpret numeric data, especially as it relates to financial services
Demonstrated leadership skills

196

Call Center Client Service Associate Resume Examples & Samples

Evaluate customer accounts
Correct billing errors
Maintain customer account information
Understand the value of our products and services
Technical proficiency in MS Word. Excel, & email
Technical proficiency in e-mail and Internet
Ability to effectively communicate both verbal and written
Call Center experience preferred, open to level
A/R experience preferred

197

Client Service Associate Resume Examples & Samples

Evaluate customer accounts
Correct billing errors
Maintain customer account information
Understand the value of our products and services
Technical proficiency in MS Word. Excel, & email
Technical proficiency in e-mail and Internet
Ability to effectively communicate both verbal and written
Call Center experience preferred, open to level
A/R experience preferred
Bilingual in Spanish preferred

198

Client Service Associate Resume Examples & Samples

1+ years directly applicable experience
Associate's degree, professional certification, or equivalent training and experience preferred
Previous experience managing client relationships

199

Client Service Associate Resume Examples & Samples

Supporting the business priorities of Production team members and the Client Service function
Adhering to efficiency/productivity and process standards such as communication, data and documents requirements, timelines, tool usage, etc
High school diploma or GED required, Associate's /Bachelor's degree, professional certification, or equivalent training and experience preferred
Insurance License
Experience working on commercial lines accounts and assisting or managing client relationships required
Proficiency in Microsoft Office, specifically Word and Excel and database systems
Associate's /Bachelor's degree, professional certification, or equivalent training and experience preferred
Willingness to develop familiarity and working knowledge of basic insurance program for each client to assist in providing the very best customer service
Willingness to participate in seminars/training (internal and external) to further develop product and industry knowledge

200

Client Service Associate Resume Examples & Samples

Education: Bachelors or 3 years of work experience, at least 1 year in the industry
License/Certification: Active Series 7, 63 and 65/66 licenses as well as appropriate state insurance licenses
Technical skills - Pershing/NetX360 knowledge helpful but not required; Microsoft Office (Word, Excel and Outlook)
Specialized Knowledge
Ability to work effectively, as well as independently, in a team environment
Client Relationship Development and client service skills
Recordkeeping skills
Strong attention to detail, a must

201

Client Service Associate Resume Examples & Samples

Perform quoting, underwriting, price negotiation and client sales efforts for assigned geographic territory. Ensure all territory pricing is competitive, underwriting is complete and accurate, and credit and profitability standards are maintained while working to exceed monthly territory budget objective and metrics. Serve more complex, higher volume retail agents than the Account Executive I, and under minimal supervision
Two years of sustained high performance in an Account Executive I or related capacity
Strong problem-solving and analytical skills
Commercial insurance and/or financial services experience
Proven internal sales performance and relationship management via account or territory management
Proven performance in customer service, relationship management, finance, or insurance. INDBBTPF

202

CRE Client Service Associate Resume Examples & Samples

Bachelor's degree or applicable experience in Commercial Real Estate loan servicing/administration experience in lieu of education
1 - 3 years of loan/account processing experience
Demonstrated confidence, assertiveness, professionalism, and ability to interact with all levels within the organization in a professional manner
Proficient use of Microsoft Office and other internet resources
Excellence in customer service, highly motivated, focused and goal oriented
Excellent written and verbal communication skills, including grammar and demeanor
Strong organizational skills with attention to detail, planning and follow-up
Ability to work independently on multiple tasks without compromising quality

203

Licensed Client Service Associate Resume Examples & Samples

Correspondence and assemble documentation for accounts
Maintain accurate marketing materials, assemble required documentation in advance of client meetings and assist with marketing mail out activities
Execute market orders and respond to client enquiries promptly and accurately
Verify and correct any errors or omissions in daily transaction summaries
Provide market quotes and track dividends, RSPs, RIFs
Share expertise of position relevant information and any changes discovered
Possess excellent communication skills Proven ability to deliver a high level of client service

204

Client Service Associate Resume Examples & Samples

Strong Computer Skills (MS Office)
Ability to build rapport over the phone
Solid work ethic, professionalism, and positive attitude
Ability to thrive in a dynamic work environment

205

Client Service Associate Resume Examples & Samples

Process and track status and filing of federal and state tax returns, including maintenance of detailed processing records
Maintain the federal and state tax estimated tax records and provide for timely remittance of estimates including notification of amounts to Relationship Managers
Process check requests and deposit refund checks
Maintain audit trail records for fiduciary tax returns by adhering to document management and retention procedures
Respond to requests for duplicate tax information and be the main contact for checking the status of accounts
Assist Tax Administrators in securing data necessary for completion of returns
Assist with other tax department administrative functions as needed, working effectively and collegially with the other tax administrative assistants and administrators
Occasional overtime work required throughout the year. Saturday and some evening overtime required February to April and August and September
Bachelor’s degree preferred. Background in business and some tax experience is preferred but not required
Working knowledge of Microsoft Office is required
Ability to handle a wide variety of activities and organize large quantities of material
Ability to deal with high net worth clients and coworkers
Proven ability to operate effectively under pressure
Demonstrated problem solving ability is required
Team player attitude; ability to recognize what needs to be done and volunteers to help even if not part of job description
Ability to lift 10 lbs

206

Senior Client Service Associate Resume Examples & Samples

Maintains databases and creates reports using portfolio software programs
Assists Financial Advisors with marketing efforts including seminars, etc
May enter orders at the direction of the Financial Advisor
Receives and processes securities
Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment
Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels
Work independently

207

Client Service Associate Resume Examples & Samples

Respond to and resolve client technical service requests
Ensure timely resolution of customer issues, escalating when necessary. Ensure clients receive responses to phone/on-line requests within service level response times, as specified per contractual agreements and in service delivery plans
Establish and maintain a positive and professional relationship with clients
Analyze customer's business and technical requirements and deliver appropriate solutions
Analyze and discuss solutions for client's requirements with regards to 3rd party applications and use of Tamarac's data outside of Tamarac products
Provide continuing education to clients on how to effectively use Tamarac in their practices
Communicate proactively with clients regarding product and program information, supportability issues, and strategic product plans where appropriate
Manage case load with timely and accurate documentation in Tamarac’s internal CRM
Share best practices with team members to enhance the quality and efficiency of client support
Participate in individual or team projects, as needed, to expand client support offerings
Become highly proficient in Advisor CRM and using internal core support products
As part of the responsibilities for this role, you will understand and readily support Envestnet's established corporate business practices, policies, internal controls and procedures designed to create value or minimize risk

208

Client Service Associate Resume Examples & Samples

Bachelor’s degree in business, finance, or related field of study
Series 7, 63, and 65 preferred, but not required
2+ years’ experience in the financial services or related industry
3 to 5 years’ experience in financial services operations, with at least 2 years in client contact capacity
Direct working experience with Qualified Retirement Plan operations and support roles experiences a significant plus

209

Client Service Associate Resume Examples & Samples

Handle all incoming phone calls and e-mails from external clients and internal Sales and RMs alike
Log all inquiries, and track every ticket through to resolution in Salesforce CRM
Investigate and resolve client issues related to trade execution, confirmation, and STP
Provide clients with training and guidance on system functionality and workflow
Resolve technical issues in conjunction with application support, network, and development teams
Perform specific pre-approved tasks according to the preset Operations Procedures
Work with external vendors and partners to resolve trade and order issues
Identify and communicate urgent issues that may have associated P/L risk
Perform intra-day and end of day system checks
Continuously develop your product and workflow knowledge through learning and evolution
Build knowledge of the FX market place and keep up with current industry trends
Complete other assigned tasks
Strong customer service skills with a focus on client satisfaction
Clear communication skills, written and verbal
Knowledge of FX
Customer Service, Trade Support, Helpdesk experience
Independent problem solver able to leverage knowledge, tools, logic, and relationships
Quick learner with strong attention to details and ability to think outside the box
Strong organization and prioritization able to manage time and prioritize many concurrent tasks
Trade support experience
Trading environment experience
FX Confirmation and Settlement
FX Prime Brokerage
Treasury Management Systems
Market Regulations SWAP Execution Facility and MiFID II knowledge
IT software & connectivity. FIX protocol, Network connectivity, Trading UI and API, Database
Options Trading, Algo Trading, Aggregation
Salesforce CRM

210

Client Service Associate, Private Wealth Resume Examples & Samples

Mastery of the following systems: TrustDesk, ORS system
Working knowledge of CSC
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 Handle family office services processing as required

211

Client Service Associate Resume Examples & Samples

Efficiently manage inquiries from CWM FAs and Clients for New Account Opening/Asset Transition
Strong problem solving and decision making skills, combined with an understanding of regulatory requirements are required to perform job functions
Interprets procedures/ instructions to resolve problems within established policies and procedures, while adhering to banking and brokerage regulatory requirements
Works under little to no direct supervision while performing job duties
As required, may train lower level team members
Applies working knowledge of technical and professional principles and concepts and in depth knowledge of team objectives; and, impacts the business by ensuring the quality of the tasks or services provided
Understands how assigned duties contribute to the work of the team/unit and how the units coordinate their efforts and resources to achieve the objectives of the function

212

Client Service Associate Resume Examples & Samples

Relevant experience; 3-5 years in an investment management or consulting firm within the Canadian market
Experience in sales, client service and/or middle/back office operations preferred
Fluent spoken and written French and English
Ability to work independently and juggle a number of tasks simultaneously in a fast-paced and team-oriented environment, where priorities change frequently and deadlines are often under significant time pressure
Comfort engaging with all levels of firm management and investors
Proficient in Microsoft Word, Excel and PowerPoint
Knowledge of eVestment Alliance, Zephyr, Morningstar and other financial applications preferred
Experience utilizing Client Relationship Management system (Salesforce.com)

213

Client Service Associate Resume Examples & Samples

Answer customer inquiries and questions and respond to them with the solutions and appropriate suggestions. If necessary, escalate the issues to GTBD Product area
Create call-logs daily into proprietary system for issues and inquiries from clients to keep for our records
Work with our partner bank to set up service products, provide support and troubleshoot on issues for clients
Enter customer billing information into our billing database for generating monthly billing statements
Maintain the records of concession pricing and special ECR memos from Relationship Manager for specific periods or renewals in order to keep information updated and accurate in billing database
Collaborate with back office operations Deposit & Clearing and Investigations departments to resolve wire transfer issues and inquiries in a timely manner
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
Knowledgeable of internal policies and procedures to meet our guidelines in order to perform day to day tasks without any flow
This person will be assigned by Senior Client Service Associate to provide training to junior Client Service Associate for their daily tasks, implementation process, and troubleshooting under the Senior Client Service Associate’s direction
Time Management: Ability to use time efficiently and effectively and remain customer service oriented while handling large volumes of customer inquiries. Self-motivated and think forward to manage multi-task duties. Proactively follows-up on open items and close the tickets in a timely manner
Communication: Excellent communication and interpersonal skills. Able to write and verbalize clearly and succinctly in a variety of communication settings and styles as well as regularly practices actively and attentively listen
Cultural Intelligence/Building Productive Relationships: Builds constructive and effective relationships with internal and external parties, using diplomacy, paying respect to others and tact. Ability to anticipate customer’s needs. Values and prioritizes the benefits of long-term relationships
(Learning) Agility/Flexibility: Able to quickly learn internal policies and procedure. Apply what learned to daily tasks without instructions. Make good judgement independently and suggest solutions to others. Learns quickly when facing new problems – enjoys the challenge of new tasks. Transitions from task to task effectively in a multi task environment.　
A minimum of 3-5 years successfully working in a customer related field
Experience of working in banking operation or/and cash management services area preferred

214

Client Service Associate Senior Resume Examples & Samples

Supports the business priorities of Production team members and the Client Service function
Adheres to efficiency/productivity and process standards such as data and documents requirements, timelines, tool usage, etc
Assists with the Branch’s overall workflow processes
Creates documents, certificates, etc. using appropriate systems and resources, which may include communications, forms, certificates, reports, etc

215

Client Service Associate Resume Examples & Samples

Handle all incoming phone calls, e-mails, and internal sales and RM related inquiries
Ability to identify urgent issues that can have associated P/L risk and are therefore considered top priority
Monitor production support and investigate issues with production applications. Identify operating problems within production areas in Integration and Demo
Monitor ticket queues and resolve technical operation issues in conjunction with development and application support
Notify both FXall business groups and clients or liquidity providers of any production trade issues immediately
Investigate and resolve client issues related to trade execution, STP, or third party vendor
Assist clients through inbound/outbound calls, chats and emails
Knowledgeable with current market trends
Basic knowledge of foreign currency trading
May be asked to perform production implementations and solve production issues by working with development teams
Responsible for other duties as assigned
2- 5 years relevant work experience
Must be able to prioritize and handle pressure situations
Professional phone demeanour
Microsoft Office knowledge. Primarily Outlook
Japanese language skill is essential due to the customer base this role is required to support
Sales force experience
FX Settlement experience

216

Fixed Income Client Service Associate Resume Examples & Samples

CSG Reps are primarily responsible for the completion of daily processing tasks, working in a fast-paced, high-risk team environment, investigating and resolving issues to ensure client on boarding, account opening, trade allocation, confirmation processing and settlement occurs in line with client service level agreements while minimizing risk to the Firm and client
Key to the role is building and maintaining excellent client relationships at the operational middle / back office level and as such developing detailed technical and product knowledge together with demonstrating excellent client service, communication, organization and prioritization skills are essential
The successful candidate will be expected to become a subject matter expert, contribute to projects and initiatives, develop and implement process improvements and become a key point of contact for a wide range of internal stakeholders including direct contact with both Sales and Trading and well as other Operations teams including Trade Support and Settlements
Knowledge of fixed income and financial markets preferred
Operations interest
Process management experience preferred
Ability to communicate with diverse stakeholders
Proficiency with business software and common applications

217

Client Service Associate Non Registered Resume Examples & Samples

2 years clerical/related industry experience required; prefer 2 years of banking and/or investment industry experience and/or estate planning paralegal and/or accounting experience and a strong technical background
No licenses or credentials initially required
Knowledge of administrative and clerical procedures and systems such as word processing, basic spread-sheet applications, managing files and records, and other office procedures and terminology
SKILLS REQUIRED

218

Client Service Associate Resume Examples & Samples

2-3 years of investment experience a plus
Experience using financial planning software a plus
Series 7 and/or CFP designation a plus

219

Client Service Associate Resume Examples & Samples

Client retention, client satisfaction, enhancing AJG’s value to our clients and prospects, achieving operating/margin targets and fostering a culture of performance and continuous improvement
Supporting the business priories of Production team members and the Client Service function
Adhering to efficiency/productivity and process standards such as data and documents requirements, timelines, tool usage, etc
2+ years of account management or support experience
Experience as an underwriting assistant/associate preferred but not required
Previous experience with professional liability lines of insurance including but not limited to D&O, E&O, EPL, cyber etc

220

Client Service Associate Resume Examples & Samples

Strong computer skills including intermediate knowledge of MS Excel
Outstanding attention to detail and analytical ability
Knowledge of Fixed Income (FI) and Equity products
Knowledge of Depository Trust (DTC) confirms/system
Ability to work independently as well as in a team oriented environment
Industry experience and securities trading knowledge

221

Client Service, Associate Manager Resume Examples & Samples

Coordination and execution of setup activities for SV Investment Only Clients, Intermediaries, Record keepers, etc
Coordination and processing of client transactions, deposits, withdrawals, etc
Support client inquiries and requests
Data management and metrics reporting related to Servicing activities (volume, timeliness, quality, etc.)
Support to Product teams and internal groups for new product development and changes to existing product support processes　
Minimum of 7 years of retirement services background
Investment operations experience with Defined Benefit/Defined Contribution product administration
Knowledge of FINRA/DOL regulatory and compliance requirements related to product setup, administration and client interaction; ability to apply complex compliance concepts
Experience working with investment vehicles commonly used in ERISA-covered plans (i.e. CITs, Insurance Co Separate accounts, general account products)
Solid problem-solving skills and ability to navigate through ambiguity
Ability to handle other essential tasks as assigned
FINRA Series 6 required upon hire
FINRA Series 63 and State Life Insurance Certification required within 120 days
Up to 15% travel may be required

222

Sales & Client Service Associate Resume Examples & Samples

1-2 years’ work experience
Knowledge of investment strategies/products
Interest in pursuing related certifications – CIMA, CAIA, CFA, etc
Ability to build strong working relationships with senior sales, service and product professionals
Superb proofing (attention to detail) and editing skills
Excellent team player who likes to work hard and anticipates needs
Excellent computer skills with experience in MS PowerPoint, Word, Excel, Access and internet applications a plus
Strong interest in financial markets and learning about the investment process/industry
Assist with business development and client management i.e., data requests, onsite meetings, organizing critical client communications, etc
Provide timely and critical follow-up to consultants and clients
Partner with Financial Advisors (FAs) to understand and grow their business; profile FAs by asking appropriate questions and provide creative product and service solutions based on profiled needs
Maintain a prospect list, track progress and follow up with staff on outstanding issues
Proactively communicate and coordinate with colleagues throughout the firm on sales and products
Follow up on outstanding prospect issues moving the sales process forward
Provide a professional, efficient and compliant service to intermediaries and direct clients/consultants who contact us via telephone, correspondence and e-mail
Learn and implement the use of MS CRM to manage client/prospect data

223

Client Service Associate / Senior Associate Resume Examples & Samples

Assist in reporting effort to investors (monthly performance estimates, monthly fact cards and investor letter, quarterly commentary, monthly and quarterly custom/special reports, Schedule K-1s)
Assist in writing monthly commentary on fund performance, which accompanies monthly fact cards. Oversee online investor portal, a document repository of investor reporting information
Oversee and create composite performance calculations and presentations
Assist in the creation and enhancement of presentations to Boards of Directors, investors and prospects
Respond to investor, Morgan Stanley representative and consultant requests and questions
Contribute to the ongoing project to automate client reporting and make the process more efficient
Perform additional responsibilities as assigned
Undergraduate degree in business, finance or related fields
CPA preferred. MBA, CFA a plus
3-5 years of client service experience and/or public accounting experience in investment management industry
Strong understanding of hedge fund investments and investment accounting. Analytical, with understanding of statistics utilized in the investment management industry
Detail oriented and organized; ability to manage and execute multiple projects simultaneously without direct oversight
Self-motivated with high level of initiative and resourcefulness to efficiently and effectively problem solve
Excellent quantitative, written, verbal and interpersonal skills, including the ability to interact effectively with colleagues, investors, prospects and consultants
Willing to obtain FINRA registrations (Series 7, Series 63) as necessary
Strong knowledge of and ability to use Microsoft Excel, PowerPoint and Word
Service oriented with commitment to excellence

224

Client Service Associate Resume Examples & Samples

Work with home office to ensure accurate account setup and resolve issues
Answer questions and provide readily available information to clients, if requested and as allowable, as it relates to servicing their accounts
As necessary, prepare preliminary financial planning recommendations as well as initial product solutions for advisor review and use in client meetings
50% Client Care
Attend and participate in client meetings if necessary
Conduct transactions on behalf of clients

225

Ptnli Client Service Associate Resume Examples & Samples

An excellent communicator, with solid interpersonal skills
Detail oriented (nothing gets past you)
A high school diploma
Independent, motivated, proactive and focused to take action
Passionate about the client experience, with strong interpersonal skills
A self-starter who is comfortable managing complex and evolving situations

226

Client Service Associate / Manager Resume Examples & Samples

50% Business Management
Perform other allowable duties as assigned by the financial advisor(s) and associate financial advisor(s)
Provide insight and recommendations to effectively use key tools (MOD, Go Social, Advisor website, etc.) that help lead to results in practice
Set up and maintain client management system
Call clients or prospects to set up meetings or appointments
Write notes or letters to clients on personal letterhead of administrative nature only and handle client appreciation
Conduct transaction requests as directed by financial advisor(s) and associate financial advisor(s)
Coordinate client appreciation events and seminars
Answer unsolicited calls from prospects to schedule appointments or refer to advisor

227

Client Service Associate / Manager Resume Examples & Samples

Prepare corresponded for advisor signature
Asset allocation modeling
Greet clients upon arrival

228

Client Service Associate Resume Examples & Samples

Provide administrative support, including
Able to handle large volumes of work and juggle priorities
Licensing is preferred

229

Client Service Associate Resume Examples & Samples

In partnership with an external sales representative, work within a defined geographical territory to cultivate and manage client relationships
Onboard new clients by coordinating account setup with internal and external investment, legal and operational contacts
Serve as point-person on certain national relationships to organize activities and filter updates to the respective team members
Populate and maintain CRM to assist external partner with territory management
Identify prospects and cross-selling opportunities by utilizing market intelligence and competitive analysis resources

230

Registered 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

231

Client Service Associate Resume Examples & Samples

Bachelor's degree –OR– High School degree/GED with 3+ years client service
Proficient in Microsoft Office applications
Proficient in using technology as a tool to maximize productivity and create high-quality documents
Ability to attend three full weeks of training (2 of the weeks consecutively) at Gallagher’s home office in Rolling Meadows, IL

232

Client Service Associate Resume Examples & Samples

No financial services industry background required. Professional & clerical experience desired
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
Basic knowledge of investment products
Basic understanding of operations system (i.e., forms and their purpose)
Ability to organize/prioritize
Strong focus on providing exemplary client service
Desktop computer/Typing (50+ wpm)
Microsoft Outlook, Word, Excel
BETA Terminal
Fax, scanner and copier machines
Postage machines

233

Senior Client Service Associate Resume Examples & Samples

3 years of inside sales or call center required (5 years preferred)
Associate’s or Bachelor’s degree in business, English, healthcare, finance or legal preferred
Experience in healthcare or pharmaceutical sales is preferred
Must have very strong written and verbal skills
Experience with MS Office is strongly preferred
Team player mentality is preferred

234

Registered Client Service Associate Resume Examples & Samples

Communicate with clients on a daily basis regarding stock quotes, buy vs. sales scenarios, and other related matters
Maintain customer account information including updating files and records and handling written correspondence
Provide administrative support to assigned Registered Representative(s) including, calendar management, travel arrangements, client and prospect presentations
Work with Southwest back office systems including CSS to enter trades and other account information
Address all client service problems and maintain Problem/Solution Log to keep Registered Representative(s) aware of service problems underway and to what level managed to client’s satisfaction
Act as gatekeeper for Registered Representative during prime market time
Assist with special projects and tasks as assigned
1-3 years experience in the brokerage/financial services industry as a Registered Client Service Associate
Series 7 and 63/66 license required
Highly proficient computer skills in Microsoft Office applications required with knowledge of Portfolio Software and data entry
Detail oriented with excellent organization skills and ability to multi-task
Ability to work in a fast-paced and deadline oriented environment
Knowledge of back office CSS a plus
Strong customer service and relationship building skills
Ability to provide complete and concise explanations of products to the extent that incumbent can explain and discuss them with clients
Basic understanding of branch level operations, policies and procedures (i.e. regulations and compliance requirements)

235

Client Service Associate, FAS Resume Examples & Samples

Provide monthly and quarterly reports to clients and service providers
Provide data and strategy descriptions to researcher and platform databases
Assist in construction of portfolio analysis and regression analysis presentations for financial adviser clients
Train financial advisers in asset allocation and portfolio construction using proprietary software
Communicate with and assist financial adviser clients at educational events run by Dimensional
Support Regional Directors and Senior Associates as needed (preparation of materials, collation of resources, confirmation of meetings, confirmation of travel details etc)
Conference and technology support at regular events for clients
Ad Hoc admin tasks to maintain the smooth running of the German FAS business
Regular travel to German office and Germany based events as needed
Ad hoc projects for the German business

236

Client Service Associate Resume Examples & Samples

Receive and respond to day-to-day inquiries/requests from third party clients, and manage and escalate client issues accordingly
Ensure action items are completed in a timely manner
Create documentation in support of Pinnacle clients (policies, procedures, Service Level Agreements, manuals, training materials, and presentations)
Follow timeframes as per service standards outlined in the Service Level Agreements
Act as the subject matter expert understanding the various integration points, key business processes and advocate on behalf of Pinnacle clients
Notify clients of upcoming development items and procedural changes; conduct systems testing; prepare and deliver training programs for clients as new initiatives are released
Coordinate processes around calendar and fiscal year-end deadlines for Pinnacle clients
Prepare monthly, quarterly and annual reports as required
Schedule and host regular meetings with clients to review specific or ongoing issues, and liaise with internal staff accordingly
Assist Traders with reconciliation, processing and confirming transactions for client accounts
Provide assistance to clients in completing Canaccord Genuity documentation and account opening
Process money movements & securities transactions
Prepare and administer monthly invoices for clients
Administer Pinnacle website content; Perform additional responsibilities and project related tasks as required
1-3 years of back office or customer service experience, preferably in the financial services industry; or equivalent securities brokerage experience, preferably in a correspondent environment
Exceptional customer service and communication skills, complemented by strong interpersonal and relationship building skills
Superior analytical, problem solving and organizational skills with excellent attention to detail
Excellent business writing skills - strong writing and proofreading; editorial and technical writing experience is an asset
Completion of Canadian Securities Course, or other securities industry courses, is an asset
Ability to demonstrate flexibility and deal with simultaneous priorities, pressures and deadlines
Proactive, with excellent teamwork skills complemented by the ability to work independently
Ability to work under high pressure and meet strict deadlines in a busy and fast-paced environment
Ability to ask constructive questions and have a sense of curiosity to address new issues
Previous experience in delivering effective training programs an asset
Advanced proficiency with Microsoft Office applications (Word, Excel, Outlook, PowerPoint)
Dataphile application experience preferred

237

Client Service Associate Resume Examples & Samples

Manage trading of equities, options, and mutual funds within client portfolios
Work closely with other team members to process trades on a daily basis and maintain desired cash levels
Ensure accurate and timely post-execution allocation, confirmation, and reporting of all portfolio security trades
Work with traders, brokers, and the back office to identify, investigate and resolve portfolio discrepancies and market settlement problems
Ability to effectively multi-task under pressure in a fast-paced environment, while maintaining attention to detail
Proficient with firm software & MS Office Suite – high proficiency with excel
Mathematically and technically inclined

238

Client Service Associate Resume Examples & Samples

Communicate effectively with internal and external customers. This includes participating in meetings with customers, Pension field representatives, marketers, CPAs, and attorneys presents a professional image of the company
Manage Pension services (e.g. reports, compliance, benefit payments) for assigned customers. Anticipate customer needs and assist them with plan administration, including education and consultation on plan design, compliance contract and member-level-services
Market company products and services to build and retain customer relationships and assets. Consult with clients and advisors on best practice solutions that our systems and processes are designed to efficiently deliver
Recognize and research unusual or complex situations. Negotiate solutions to meet both customers' and business unit goals
Be familiar with our investment options, results and philosophy, and share this information with customers
Perform other job-related duties and special projects as required
Bachelor's degree or equivalent of 8 years’ experience
Good written and verbal communication, interpersonal, basic math, organizational, reading comprehension, interpretation, and negotiation, analytical and problem solving skills
Basic knowledge of retirement plan and contract documents, manuals, procedures, and company products and services

239

Senior Registered Client Service Associate Resume Examples & Samples

Be diligent, detail oriented and processed based
Client service oriented – enjoy and be comfortable interacting with clients on the phone and in person
Strong understanding of basic principles and transactions in the financial industry
Familiarity with fee based and managed accounts
Helpful to have experience with alternative investments and structured products
Embrace technology
Proficiency with Excel
Willingness to adopt new techniques or processes
Creative problem solver
Ideally have experience with portfolio reporting (asset allocation and performance reports) and financial planning software
Investment research
Ability to remain outwardly calm during stressful situations
Thrives in a fast paced results driven atmosphere

240

Client Service Associate Resume Examples & Samples

2-3 years of demonstrated prior success with achievement of performance goals
Previous experience as an operational leader is desired
Experience in training new retail banking associates is desired
High school diploma or general education degree (GED) required
Associate’s or Bachelor’s degree and/or equivalent Banking work experience preferred
2-3 years related experience and/or training; or equivalent combination of education and experience

241

Client Service Associate Resume Examples & Samples

Uses specialized knowledge and skills obtained through experience and/or formal training to provide pro-active support to Client Advisors
Serve as the day-to-day point of contact for clients including researching and solving problems, initiating deposits and disbursements, and responding to other inquiries or needs
Opens new accounts including preparing and sending documents to clients, assists in client on boarding and account closure instruction process
Support in preparation of client and prospect meeting materials. Prepares letters, forms, and spreadsheets to assist with servicing existing clients and prospecting for new clients
Receives unsolicited orders from clients
Must have at least 2 years or more experience dealing with the financial services industry including securities, wealth management, banking and trust operations as well as a working knowledge with regulations, compliance and documentation
Requires Series 7 and one of the following: Series 63, 65 or 66
Knowledge of investment products, concepts, practices and procedures used in the securities industry
Highly articulate, proactive and self-motivated, possesses a sense of urgency, with a demonstrated ability to thrive in a fast paced environment
Excellent customer service skills, both verbal and written, required
Must also be able to interface with top level management and clients, and handle confidential information with discretion. Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels
Work independently and be able to make decisions
Proficient with Word, Excel, and PowerPoint

242

Client Service Associate Resume Examples & Samples

Managing all aspects of client communications to ensure all job requirements are met
Developing and nurturing working relationships with internal and external stakeholders, including clients, internal parties, Relationship Managers, Programmers and the Operations team
Building a comprehensive understanding of the client's requirements to create an accurate and detailed job brief
Managing each job to strict deadlines and ensuring that the clients expectations are met
Answer inbound site queries and phone calls, and undertake administrative tasks as required
Flexible and mature approach to work
A positive attitude and clear communication style
Previous experience in client/customer service, administration and/or project coordination
Resilience, and a demonstrated ability to thrive in a busy deadline driven environment
Ability to work independently and take responsibility for assigned jobs
Highly developed organisational skills, time management and attention to detail
Client facing experience and exposure to a production background will be highly regarded

243

Client Service Associate Resume Examples & Samples

Process client Automated Customer Account transfer Service (ACATS)
Process client asset transfers incoming/out
Process client outgoing wires
Process client equity conversions
Process client corporate actions (Tender offers, right offer, stock splits)
Handle incoming client customer service
Responsible for client end of the day recaps send/save
Handle client futures account support
Monitor client items for attention on Pershing
Process and document all client securities transfers by Letters of Authorizations (LOA’s)
Process Client equity and fixed income trades
Process client options trades
Ensure matching and settlement of client trades
Ensure all average price and facilitation accounts remain empty
Correct any trade booking errors
Monitor and assist with client margin and funding issues
Facilitate client special handling items
Projects as needed

244

Client Service Associate Resume Examples & Samples

Management of Client Account and day to day operations of Client's Employee Share Plans
Responding to written, email and telephone share holder enquiries
Maintaining employee information held in internal systems and databases
Reconciliation of accounts and transactions
Maintenance of internal timetable for all clients in terms of dividends, ad hoc payments, offers and statements
Preparation of share transfers, sales and purchases
Assisting the Implementation Team in offers and re-offers to employees
Maintaining Service Level Agreements
Ability to manage changing priorities and strong time management skills
Excellent interpersonal and communication
High level of initiative, flexibility and problem solving skills
Strong PC skills with a high level of familiarity with MS Office products
Possess and display a positive, enthusiastic attitude & strong work ethic
Be self-motivated and proactive
Possess the ability to work well under pressure, maintaining professionalism and focus on quality

245

Client Service Associate Resume Examples & Samples

Liaising with clients directly to help understand and resolve their queries, taking ownership of the queries, and ensuring that they are co-ordinated among departments, escalated as necessary, and dealt with in conjunction with SLAs and expectations
Clear ongoing management of outstanding requests to ensure the required level of visibility
Build close working relationships with the FTSE Russell clients to ensure they are receiving the best possible service and fully understand how to use the services available to them
All client queries are logged via the dedicated Helpdesk software. Regularly monitoring open queries and producing daily reports on the volume and types of queries received. Flag trends and uncover potential opportunities for training
Work closely alongside the Global Client Service team located in London, New York and Seattle to continuously strive to improve the service we provide to clients
Minimum of 3 years experience gained within the Financial Services sector
Knowledge and understanding of Financial Markets and available products and services
Good Microsoft Office skills. Proficiency in Excel is essential
Ability to work to tight deadlines and in a fast moving environment
Capable of applying analytical and investigative thinking to complex client queries
Highly motivated and proactive
Ability to regularly re-prioritize own workload and delegate as required
Highly organized with a good focus on attention to detail
Be able to operate independently and as part of a global team across different time zones
Handle difficult situations with tact and understanding. Understand the client’s challenges and endeavour to work with them to resolve

246

Senior Client Service Associate Resume Examples & Samples

Provide sales and service support (i.e., create, review and distribute various client reports and presentations or assist with client events); may be for current clients or prospects
Assist with phone calls to prospects and clients, schedule all client-related appointments, coordinate client mailings/invitations to company events
Provide general administrative support such as managing logistics and refreshments for meetings, answering incoming telephone calls, managing incoming emails/faxes, filing, submitting business expense requests, schedule appointments and distributing mail
Place equity, mutual fund and fixed income trades for brokerage clients, process money market movements or account maintenance at custodian and in CRM system. As necessary, utilize custodial websites, CRM client database and APX portfolio management system. Produce reports upon request
Client interaction: act as conduit between client and PWM operations, create business plans geared toward client growth, build relationships with clients, initiate daily contact with clients and make frequent office visits, introduce technology and services to client as appropriate, cross sell PWM’s products, services and/or technology, monitor client investing and understand their rationale or intentions/goals
At least 3 years of related experience; BS/BA degree or equivalent experience preferred
Exceptional interpersonal skills to interface with clients, prospects, custodians and colleagues
Use of considerable tact and discretion when dealing with client or sensitive data
Ability to work independently under minimal supervision
Excellent attention to detail and high degree of accuracy and consistency
Working knowledge of securities industry, broad understanding of capital markets, their practices on how products trade, settled and are invested
Knowledge of Bloomberg, APX or custody system a plus
Understand the Bank’s structure and identify opportunities to utilize Bank resources to meet client’s needs

247

Client Service Associate Resume Examples & Samples

Collaborate with team members to resolve client questions and requests accurately and in a timely manner, escalating when necessary
Partner with team members to ensure high quality customer service responding to client calls & emails within stated SLAs
Establish and maintain a positive and professional relationship with clients. Assist in setting & managing client expectations for completion of work
Log internal and client-originating product feedback via Suggestion Box in Help Desk
Grow and maintain knowledge in products and tools
Contribute to knowledge articles
Ability to deliver quality service and problem solving skills remotely to clients and communicate complicated concepts in a concise and articulate way via phone & email
Experience in a financial services atmosphere specifically the registered advisory, brokerage or financial services industry preferred
Degree in Business, finance or similar preferred

248

Client Service Associate Resume Examples & Samples

Accounting
3-5 years of experience with oversight of Accounts Payable required
Bachelor’s Degree required, Accounting concentration is a plus
Proven ability to multi task, prioritize duties and complete tasks in an accurate/efficient manner
Exceptional written and oral communication skills; customer service acumen required
Experience working with a high profile client; service first attitude – personality is key
Must have attention to detail, strong organizational and analytical skills
Self-starter seeking opportunity for development and additional role responsibility over time
Desire to work in a collaborative team setting
Experience in SAP is a plus

249

Private Bank Client Service Associate Resume Examples & Samples

Accurately process client requested transactions on trust accounting and deposit systems withinprocedural requirements and deadlines (examples: financial transactions, account set up)
Independently conduct research for more complex internal and external inquiries
Prepare documentation regarding the clients to various department committees for review and approval
Responsible for other functions as needed to support the administration of the Private Wealth Management clients
Bachelor's Degree or higher
6-8 years experience within the financial services industry
Providing client service/support of Trust/investment accounts for high net worth clients in a Private Bank
Using the SEI accounting platform and/or TouchPoint
Providing customer service for banking clients, including opening accounts in a call center or branch office
Supporting the administration of revocable and irrevocable trust accounts
Knowledge of investment and deposit products
Strong organizational, time management and analytical skills
Attention to detail and an understanding of the importance of data accuracy
Ability to identify issues and drive to resolution
Ability to balance day-to-day and project responsibilities
Knowledge of account reconciliations

250

Sales & Client Service Associate Resume Examples & Samples

Bachelor’s degree in Economics or Business
Interest in pursuing related certifications – CFA, CAIA, etc
Possess the ability to quickly develop an in-depth institutional marketing and business sense

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