Client Associate - Waterloo Capital

Waterloo Capital; Dallas (TX); On-site; USD 65,000 - 90,000; Full time

Benefits offered by this job

Health, dental and vision insurance

401(k) with company contribution

Paid time off and firm holidays

Licensing and CE support

Clear advancement path

Job summary

Waterloo Capital, an Austin-based SEC-registered investment adviser, seeks a Client Associate to back client relationships for a book of high-net-worth households. You will onboard new clients, process transfers, prepare meeting materials, and serve as the first contact for client inquiries, ensuring accuracy and timeliness.

In this role, you will support onboarding end-to-end, maintain documents for KYC/AML compliance, and work with advisors to prepare performance reports.

Qualifications

• Bachelor's degree in finance, business, economics, or related field required.
• 1–4 years in a client-facing or operations role at an RIA, broker-dealer, bank, trust company, or family office.
• Superior attention to detail and organizational discipline; able to manage multiple items simultaneously.
• Strong written and verbal communication with high-net-worth clients; discretion essential.
• Proficiency with Microsoft Excel, Word, and Outlook; basic familiarity with CRM and portfolio tools.

Responsibilities

• Serve as the primary contact for client questions regarding accounts, transfers, statements, and portal access.
• Manage onboarding workflow: paperwork, transfers (ACATs), beneficiary and registration changes.
• Prepare performance reports, account summaries, and planning materials for client meetings; attend meetings as needed.
• Maintain accurate client records, notes, and workflows in the CRM; ensure compliance with policy and SEC requirements.
• Reconcile account data, resolve custodian discrepancies, and support quarterly billing and reporting.

Skills

Attention to detail

Organizational discipline

Communication

Microsoft Office

Discretion

Education

Bachelor's degree in finance/business/economics or related

Tools

Schwab Advisor Center

Fidelity Wealthscape

Salesforce or Redtail CRM

Addepar or Orion

eMoney or RightCapital

Job description

Waterloo Capital is an SEC-registered investment adviser headquartered in Austin, Texas, serving high-net-worth individuals, families, and institutions. As a fiduciary, we bring institutional-grade investment management, advanced financial planning, and family office services to our clients through a platform spanning public markets, private markets, and proprietary technology.

We are one of the fastest-growing RIAs in the country. Joining our client service team means working directly with experienced advisors and sophisticated clients in an environment where ownership, responsiveness, and follow-through matter.

Position Summary

The Client Associate is the operational backbone of the advisor–client relationship. You will own the day-to-day service experience for a book of high-net-worth households: onboarding new clients, processing account and money movement requests, preparing materials for client meetings, and serving as a dependable first point of contact when clients call.

This is a detail-intensive, deadline-driven role for someone who takes pride in getting things right the first time. It is also a genuine career track — strong Client Associates at Waterloo grow into senior client service, operations leadership, or advisory roles.

Key Responsibilities

Client Service & Relationship Support

• Serve as a primary point of contact for client questions regarding accounts, transfers, distributions, statements, and portal access
• Respond to client inquiries with accuracy and urgency, escalating to the advisor when appropriate
• Build durable relationships with clients, their families, and their outside professionals (CPAs, attorneys, trust officers)
• Maintain a proactive service cadence: milestone outreach, annual review scheduling, and follow-up on open items

Account Onboarding & Administration

• Prepare and process new account paperwork, account transfers (ACATs), and beneficiary and registration changes through Charles Schwab and Fidelity
• Manage the onboarding workflow end to end, from initial paperwork through funding and portfolio implementation
• Gather and verify client documentation in compliance with KYC, AML, and firm policy
• Process cash movement requests, including wires, ACH, journals, RMDs, and recurring distributions

Meeting Preparation & Follow-Through

• Prepare performance reports, account summaries, and financial planning materials in advance of client meetings
• Attend client meetings as needed, capture notes and action items, and drive them to completion
• Maintain accurate and current client records, notes, and workflows in the firm's CRM

Operations & Compliance

• Reconcile account data, resolve custodian discrepancies, and monitor for NIGO items
• Support quarterly billing, performance reporting, and statement cycles
• Adhere to firm compliance policies, SEC recordkeeping requirements, and fiduciary standards in all client interactions
• Identify recurring friction points and recommend process improvements

Qualifications

Required

• Bachelor's degree, preferably in finance, business, economics, or a related field
• 1–4 years of experience in a client-facing or operations role at an RIA, broker-dealer, bank, trust company, or family office
• Exceptional attention to detail and organizational discipline; comfort managing dozens of open items simultaneously
• Strong written and verbal communication skills, with the poise to interact with high-net-worth clients
• Proficiency with Microsoft Excel, Word, and Outlook
• Absolute discretion with confidential client information

Preferred

• Direct experience with Schwab Advisor Center and/or Fidelity Wealthscape
• Familiarity with CRM, portfolio accounting, and planning platforms (e.g., Salesforce or Redtail, Addepar or Orion, eMoney or RightCapital)
• SIE, Series 65, or Series 7/66 licensing, or willingness to obtain within the first year
• Working knowledge of retirement account rules, trust registrations, and alternative investment subscription processes
• Progress toward the CFP® designation

Who Thrives in This Role

• You own problems until they are resolved, rather than handing them off
• You would rather ask a clarifying question than guess
• You stay calm and organized during volatile markets, tax deadlines, and year-end crunchesYou treat every client interaction with empathy, whether it is a $50,000 question or a $50 million one
• You look for the better way to do a repetitive task instead of accepting it
• Competitive base salary commensurate with experience, plus annual performance bonus
• Health, dental, and vision insurance
• 401(k) with company contribution
• Paid time off and firm holidays
• Support for licensing, continuing education, and professional designations
• Clear advancement path within a rapidly growing firm