Client Service Associate

Title - Client Service Associate
Location - Walnut Creek, CA
Duration - 6+ months

The Client Service Associate serves as a primary point of contact for clients and is the welcoming face of
the office, creating a professional and exceptional client experience for every interaction. This role
provides high-level administrative and operational support to financial advisors, coordinates client
meetings and communications, manages account and service requests, and ensures the smooth day-today
operation of the office. The Client Service Associate builds strong relationships with clients while
maintaining accuracy, responsiveness, and attention to detail across all client service and administrative
activities.

• New Client Onboarding
• Ensures accurate completion of prospect / new client paperwork/set up
• Follow up on funds transfer from surrendering company
• Maintains (CRM) database and client files (Filing, copies, data input)
• Research and follow up on any issues with the Broker/Dealer, Operations, and
vendors
• Record incoming assets to the appropriate blotting tool
• Client Relationship Management
• Dialogues with client to understand their personal history and current financial needs.
• Prepares account transactions, trades, deposits, withdrawals, RMDs, etc.
• Communicates to understand client requests, determines what needs to be done;
communicates to the advisor or handles issue resolution, includes death claim processing
• May work with client’s tax or legal counsel on client concerns
• Client Review Prep and Follow Up
• Gather client data and may prepare the materials for client meetings and reviews
• Conducts Tax Research (1099s)
• Completes any review follow up needs for client
• Industry / Product / Company Knowledge
• Demonstrates knowledge and can accurately execute
Guidelines, operational processes and sales model
• Understands financial terminology and products
• Working proficiency with annuities, mutual funds, separately managed accounts, fixed
income, stocks, options, alternative investments, hedge funds, charitable giving practices
• Attends Client Services and company educational events
• May attend vendor presentations

• Team and Corporate Support
• Assists Advisor Team Operations to streamline processes
• Completes operational projects to support enhancements and changes
• Communicates process and sales updates to team
• Mentors and trains CSAs
• Manages vendors to Service Level Agreements

Education/Skill Requirements
• Bachelor's degree or equivalent, demonstrated through one or a combination of the following:
work experience, training, military experience, education.
• Customer Service training, knowledge or experience
• Ability and interest to learn financial concepts and products
• Ability to work with deadlines, be flexible under pressure and prioritize work
• Ability to work as a team member
• Ability to learn financial product features and riders
• Ability to learn the review process and how the review is completed
• Strong attention to detail
• Good problem-solving skills
• Superior verbal and written communication skills.
• Proficient with Microsoft Office Suite or related software.
• Familiarity with Salesforce and Support Org functionality
• Experience with Workday preferred
• AI Literacy:
• Demonstrated ability to effectively use AI tools and technologies in daily work tasks.
• Requirements include understanding how to craft effective prompts, evaluate AI-generated
content for accuracy and appropriateness, and integrate AI tools to enhance productivity
while maintaining quality standards.
• Comfort with learning new AI applications and understanding their appropriate use cases
and limitations.
• As AI technology evolves, continued learning and adaptation to new AI tools and
methodologies will be expected.
OSHA Requirement
• Stand or sit for long periods of time,
• Ability to use the telephone and computer systems,
• Ability to lift up to 15 lbs.
• Ability to travel independently as needed