Service Associate

This role goes beyond day-to-day client support and requires a strategic approach to managing client needs, improving service processes, and supporting our financial advisory team in delivering best-in-class financial guidance. Our commitment to your success is enhanced by our competitive base pay and an extensive benefits package, including: Medical: Blue Shield (PPOs and HDHP with HSA) plans and Kaiser (HMO) plans for California associates.

SUMMARY:

Our Service Team consistently strives for service excellence. Service Administrators work with our Service team and provide support to our Financial Advisors. This role goes beyond day-to-day client support and requires a strategic approach to managing client needs, improving service processes, and supporting our financial advisory team in delivering best-in-class financial guidance. You will bring extensive experience in financial services, excellent relationship-building skills, and a commitment to improving the client experience at every interaction.

This is a full-time, non-exempt role based out of our Walnut Creek, CA office. 

 

DUTIES AND RESPONSIBILITIES

• Strategic Client Relationship Management
• Act as the primary liaison for clients, providing exceptional service and proactively addressing client needs and inquiries
• Develop and nurture long-term client relationships, understanding their financial goals, preferences, and expectations
• Anticipate client needs, manage escalated issues, and ensure timely and accurate communication
• Work alongside advisors to educate clients on available services, online tools, and other resources to enhance their experience and engagement with the firm
• Understand department workflows, policies, and procedures to submit requests correctly and timely

• Leadership
• Reports to the Service Team Lead, providing feedback, and mentoring associates within the Service teams
• Ensure consistent, high-quality service and fostering a client-centered culture
• Implement and refine client service processes to increase efficiency and enhance the overall client experience
• Ensure compliance with regulatory and firm standards for client communication, documentation, and account management
• Coordinate with internal teams, including advisory and operations, to resolve complex client requests and streamline service delivery
• Advanced Account Management & Oversight
• Ensure accurate execution of trades, account transactions, and client distributions while maintaining strong data integrity
• Collaborate with custodians and back-office teams to troubleshoot issues, manage account transfers, and ensure seamless account maintenance
• Operations
• Ensures a seamless onboarding experience and works with clients to set a great first impression
• Coordinates client appointments, processes requests received from advisors and clients
• Provides notary services for client transactions
• Achieves high quality and accuracy of work
• Answers phone calls and emails from clients, always following up with each client's request
• Prepares and processes client paperwork

 

QUALIFICATIONS

• 10+ years in the Financial Services industry, preferably at an RIA or Wealth management firm
• Bachelor’s degree in finance, business, or a related field; advanced certifications (e.g., CFP®, CFA®) preferred
• Strong relationship management skills
• Advanced proficiency in CRM systems, custodial platforms, and financial planning software
• Demonstrated leadership abilities with a track record of process improvement and client satisfaction
• Excellent communication, problem-solving, and analytical skills with a high level of accuracy and attention to detail
• Advanced understanding of regulatory requirements for RIAs, including familiarity with SEC and FINRA guidelines
• Excellent verbal and written communication skills
• Ability to multi-task and prioritize work daily with frequent interruptions
• Flexible and embraces change
• Strong team player and approachable
• High degree of professionalism
• Proficient with Microsoft Office applications required

 

PHYSICAL REQUIREMENTS

• Works in an office environment
• Requires extended periods of sitting or standing at a desk, talking on the phone, and typing
• Use hands, fingers to constantly operate a computer and office equipment, such as copy machine and printer
• Occasionally move about inside the office to access file cabinets, office equipment, etc.
• May carry or lift weight up to 10 lbs. in very limited occurrences