Client Service Associate

Kestra Financial Independent Advisor; Chicago (IL); On-site; USD 45,000 - 65,000; Full time

Job summary

Kestra Financial Independent Advisor seeks a Client Service Associate to support advisors and clients with information, paperwork, and timely service. You will assist in meeting prep, manage inquiries about accounts, and coordinate with the broker-dealer for account establishment and maintenance.

You will work closely with advisors, process client requests, and ensure compliance and documentation are up to date in a fast-paced financial services environment.

Qualifications

• Bachelor's degree in business-related field preferred.
• 2+ years of experience in the financial services industry.
• Familiarity with broker/dealer operations and financial products.

Responsibilities

• Assist in client meeting preparation and follow-up including assembling paperwork, report generation, appointment scheduling and post-meeting documentation.
• Manage client needs regarding processing, service, and problem resolution in a timely and accurate manner while ensuring documentation and record keeping adheres to compliance standards.
• Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance.
• Process, submit, and service all account paperwork/requests; follow through to completion utilizing paperless procedures (including eSignature) where available.
• Ensure adherence to appropriate client service models.
• Manage multiple and competing priorities on a daily basis in pursuit of business objectives.
• Other responsibilities as assigned by the Senior Client Service Associate.

Skills

Advanced computer skills

Excellent communication

Time management

Relationship building

Education

Bachelor's degree in business-related field

Tools

Outlook

Word

Excel

PowerPoint

Job description

Client Service Associate Summary

The Client Service Associate reports to the Senior Client Service Associate and is critical to appropriately leveraging Advisors' time. This position utilizes excellent customer service and problem‑solving skills to confidently provide information and education to clients in a timely, efficient, and professional manner.

Essential Duties and Responsibilities

• Assist in client meeting preparation and follow‑up including assembling requisite paperwork, report generation, appointment scheduling and post‑meeting documentation
• Manage client needs regarding processing, service, and problem resolution in a timely and accurate manner while ensuring documentation and record keeping adheres to compliance standards
• Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance
• Process, submit, and service all account paperwork/requests; follow through to completion utilizing paperless procedures (including eSignature) where available
• Ensure adherence to appropriate client service models
• Manage multiple and competing priorities on a daily basis in pursuit of business objectives
• Other responsibilities as assigned by the Senior Client Service Associate

Supervisory Responsibilities

None

Knowledge, Skills, and/or Abilities

• Advanced computer skills (Outlook, Word, Excel and Power Point) are essential
• Excellent communication skills, both verbally and in writing
• Strong time management, organizational skills; able to work independently and effectively manage multiple tasks at once
• Ability to build relationships with clients and internal partners and influence others without direct control

Education and/or Experience

• Bachelor’s degree in a business‑related field preferred
• The ideal candidate will have 2+ years of experience in the financial services industry allowing for a good understanding of broker/dealer operations and financial services products, including but not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts
• Previous experience in the independent financial services culture preferred

Certificates, Licenses, Registration

• Series 7 and 65/66 preferred (or ability to obtain)