Summary The Client Services Associate (CSA) is a vital part of the daily operations team, supporting the client servicing needs of a team of Financial Advisors. This is a hands-on, task-driven position focused on accuracy, timeliness, and responsiveness. The CSA is responsible for managing the routine processing of paperwork, tracking service requests, maintaining data integrity, and ensuring a consistent and professional client experience.

Responsibilities

Client Service Support

• Monitor and manage inbound client service requests, ensuring timely responses or appropriate escalations.
• Follow up on client service tasks such as fund transfers, address changes, and beneficiary updates to ensure seamless execution.
• Maintain accurate and up-to-date client records in the Client Relationship Management (CRM) system, ensuring all contact and household information is current.

Paperwork & Document Management

• Prepare and submit new account forms, transfer paperwork, and other required documents with precision.
• Review all submitted paperwork for completeness and accuracy before submission, minimizing errors.
• Track the progress of submitted forms and proactively follow up on any missing or rejected items (Not-In-Good-Order, or NIGOs).

Daily Task Execution

• Maintain organized task lists and service workflows for assigned advisors, ensuring nothing falls through the cracks.
• Confirm completion of tasks and resolve any outstanding service items promptly, especially those that are time-sensitive, such as Required Minimum Distributions (RMDs) and tax documents.

Advisor Support

• Coordinate routine service tasks directly with assigned advisors.
• Organize and prioritize daily and weekly workloads based on advisor needs and client urgency.
• Support advisor-specific procedures and service models while ensuring consistency with firm standards.

Process Improvement & Documentation

• Identify frequent service issues and recommend improvements to standard workflows.
• Assist with documenting advisor-specific preferences and procedures.
• Collaborate with other CSAs and team members to cross-train and share best practices.

Key Deliverables

• In-Good-Order paperwork submission.
• Same-day processing of routine service tasks.
• Weekly scheduled advisor updates on outstanding service items.
• Updated and managed CRM data for assigned clients.
• Positive feedback from advisors and clients.