Elderberry Capital Registered Client Service Associate Los Altos, CA · Part time Company website

Apply for Registered Client Service Associate

At Elderberry Capital, our mission is to help our clients work toward financial independence through careful financial planning. We invest the time with clients to determine their goals and objectives, time horizon, and risk tolerance to help them make smart financial decisions. Our team is passionate about helping our clients live life abundantly. In order to do this, we use a consultative process to identify where clients are now and where they want to go and develop personalized strategies that help address unseen risks and tax efficiency. We then partner with a network of professionals to help our clients make informed decisions and pursue what is most important to them.

This is a part-time, on-site role for a Registered Client Service Associate based in Los Altos, CA. Registered Client Service Associates provide exceptional service to our wealth management clients and support the Wealth Advisor on a daily basis. The Registered Client Service Associate will support client relationships by managing communications, addressing inquiries, assisting with financial transactions, and ensuring the accuracy of client accounts. Additional responsibilities include preparing client review materials, maintaining compliance with regulations, and collaborating with the financial advisory team to meet client needs.

Qualifications

• Proficiency in Client Services, Customer Support, and Customer Service to provide exceptional client care and resolve inquiries efficiently.
• Strong Communication skills for engaging with clients, team members, and stakeholders effectively in verbal and written forms.
• Basic knowledge of Finance concepts and familiarity with regulatory compliance within the financial services industry.
• Highly organized with attention to detail and the ability to manage multiple tasks and deadlines simultaneously.
• Advanced Proficiency in financial software tools, CRMs, and Microsoft Office Suite.
• Bachelor's degree preferred or equivalent work experience.
• Licenses such as Series 7 and Series 66 (or willingness to obtain these certifications) are advantageous.

Client Support Responsibilities

1. Uphold the Elderberry Capital Standard of Care, which is unique to the industry.
2. Cultivate and enhance new and existing client relationships through active communication with clients, processing client requests, resolving inquiries, providing guidance and making sure key information and documentation remains current.
3. Coach clients on how to use the digital tools including access to their online Account View, their financial plan, and how to navigate/customize those online portals to make it easy for them to find what they need.
4. Proactively lead new clients through the onboarding process, including collecting client profile information and required documentation. 
5. Conduct client meetings and phone calls to walk clients through how to read and understand their statement or mailed notifications, and take care of 401(k) rollovers via conference calls to the recordkeepers.
6. Answer questions from existing clients with details around their account information, including relaying cash or stock positions, providing account balances, investment objectives, risk tolerance, etc.
7. Executing money movement transactions at the request of the client and/or advisor.
8. Accept or enter unsolicited orders and/or enter solicited orders in a clerical capacity at the direction of the advisor.
9. Support advisor with insurance order entry systems and underwriting case management.
10. When home office support is needed, identify and contact the appropriate department within the home office and find solutions to support clients' needs.
11. Each client is assigned a cadence for review meetings that are executed annually. Manage the administrative preparation and follow-up for these meetings.

Account Administration Responsibilities

1. Prepare account forms accurately before sending out for signatures, and follow-up with clients to ensure forms are signed by clients promptly.
2. Review and take appropriate action on client account and compliance notifications to research and resolve promptly.
3. Confirm authorization and authenticate client when processing requests.
4. Partner with Wealth Advisor in delivering the client service model.
5. Actively engage in available training and education programs - including firm strategic priorities, professional development and staying current on policies, procedures and new platforms.
6. Perform administrative duties that support Wealth Advisor in daily business practices, including but not limited to, account data gathering, back-up telephone coverage, back-up email coverage, and coordination of client meetings.