Our firm is seeking to add an experienced and enthusiastic Client Service Associate to our growing firm.
Frequent client contact typically by telephone, in-person, through written correspondence and by email.
High level support to Financial Advisors
Handling client inquiries and solving service transactions
Complete and process financial paperwork for transfer of assets and tracking them through completion
Prepare and upload documents, new accounts, checks, distribution and maintenance forms
Set up accounts, maintain systems up-to-date with client information
Responsible for administrative functions in investments & securities.
Creates, maintains and researches confidential client portfolio reports using ClientWorks, our client management software program.
Management of Customer Relationship Management (CRM) software (Wealthbox).
Assists in ensuring compliance to securities regulations.
Follow up with new and existing client to update status and schedule quarterly updates.
Collect and input client meeting notes in CRM
Maintain compliant electronic client files and logs
Set up and maintain clients RMD’s
Maintain calendar for investment advisor’s appointments and match to "schedule once” (our scheduling program).
Knowledge and Industry Experience
2+ year(s) of Finance Industry experience a must.
Bachelor’s Degree in business, finance or related field a plus.
FINRA Securities Licenses a plus (Series 7, 63, 65)
Strong customer relationship and customer service skills.
Strong analytical, problem solving, and written and verbal communication skills, with the ability to work well with others.
Strong attention to detail, accuracy and reliability with the ability to thrive in a fast-paced environment
Strong organizational and time management skills with the ability to set priorities and meet deadlines
Committed to professional development (e.g. licensing, registration, designations)
Knowledge of MS Office.
Additional Salary Information: Each team member has an associated Bonus Structure that is in addition to base salary and medical coverage provided by the firm.
About Whalen Financial
Whalen Financial is an independent investment and wealth management that has been serving the Las Vegas community for over 30 years. With over $140 million AUM, our firm uses a proven, personalized approach to uncover financial solutions tailored to each client's individual needs. Whalen Financial is affiliated with LPL Financial, the nation’s largest independent broker-dealer.