Total Compensation is targeted at $140K - $175K. (plus, opportunity to earn commissions). To be determined based on candidate's credentials, experiences, and potential value to the department / firm. Position is currently hybrid / midtown NYC.
Senior Client Services Associate
Position Overview:
Our client is an established, well-respected, NY-based boutique investment advisory firm offering a wide array of investment and wealth management services. Operating as a registered investment adviser, broker dealer, and insurance agency, they serve high net worth individuals, families and non-profit organizations, managing over $3.5 billion of assets. The firm provides expertise, professional service and advice across all areas of the wealth management spectrum with diverse product offerings including stocks, bonds, ETF, mutual funds, hedge funds and other alternative investments, insurance products, and real estate.
The ideal candidate will be a “self-starter” with an entrepreneurial mindset, looking to find a long-term home at a growing firm.
Responsibilities will include (but not be limited to):
- Collaborate with Advisors and fellow team members to deliver personalized investment guidance and solutions that align with client’s investment preferences, suitability, and risk tolerance levels.
- Manage the allocation of assets, execution of portfolios, and apply knowledge of organizational documents, estate planning, as well as tax principles.
- Conduct trading operations and other investment-related activities, ensuring their accurate execution and reconciliation.
- Oversee asset movements, portfolio implementations and leverage your understanding of organizational documents, estate planning and tax concepts.
- Leverage your social skills to develop and maintain lasting connections with clients.
- Liaise with colleagues from the middle and back-office teams to guarantee a seamless client experience.
- Opportunity (not required) to build your own book of business for which there will be a separate compensation arrangement outside of base salary/bonus.
Qualifications:
- 5+ years experience (preferably in client service / finance)
- Bachelor’s degree
- Capable of working under pressure in a dynamic setting
- Superb listening, verbal and written communication
- Strong analytical and problem-solving abilities
- Ability to engage significantly with clients and collaborate with other advisors.
- Strong commitment to integrity and ethics
- A process-oriented mindset, the ability to execute short-term tasks while managing long-term projects effectively, and the desire to work as part of a high-performing team
- Solid track record of working well in partnerships and teams.
- Proactive self-assurance / taking initiative in tackling issues for advisors and clients as they emerge.
- Outstanding people skills / capable of quickly establishing trust with clients.
- A commercially minded critical thinker with exceptional project management skills, keen attention to detail
- Ability to meet designated deadlines and work effectively in a pressurized environment
Licensing & Designation Requirements
- Securities Industry Essential (SIE) exam, Series 7
- Series 65 or 66 licenses (within 90 days)