Client Service Associate

BFG Financial Advisors; Timonium (MD); On-site; USD 50,000 - 75,000; Full time

Job summary

A financial advisory firm located in Timonium, Maryland, is seeking an Investment Operations/Business Processing professional. This role involves notifying the trading team of trades, maintaining Salesforce data, and preparing various investment-related forms. Ideal candidates will have a college degree or equivalent experience with relevant certifications including Series 7 and Series 66. The position offers involvement in client meetings and the opportunity to train and mentor less experienced staff.

Qualifications

• College degree or equivalent experience (10+ years as a Senior CSA).
• Must possess SIE certification.
• Must possess Series 7 and Series 66 certifications.

Responsibilities

• Notifies trading team of trades and deposits.
• Completes planning memo and keeps Salesforce data updated.
• Processes and maintains SBLOCs and investment account applications.

Skills

Salesforce proficiency

Client interaction

Attention to detail

Education

College Degree or equivalent experience

Securities Industry Essentials (SIE)

Series 7 (Registered CSA)

Series 66 (Registered CSA)

Job description

Investment Operations/ Business Processing

• Notifies trading team of trades/deposits.
• Completes planning memo and tasks in a timely fashion and keeps Salesforce data updated and live.
• Direct business submission; App Complete submissions; PIPS/SWPS; POA Affidavits for advisory accounts.
• Completes E-blotter for all checks and security certificates and maintaining copies of checks and certificates in a compliance file.
• Prepares and processes investment account applications, proposals, and other investment-related forms.
• Prepares RIA kit for each new prospective client.
• Processes and maintains SBLOCs.
• Updates Opportunities report daily for pending, not submitted, and completed investment activity.
• Updates advisors weekly on the opportunity report.
• Tracks and submits annual client retainer fees.
• Completes Required Minimum Distributions – calculations, tracking, automating, and confirming.
• Assist with all insurance servicing and new business.
• Assists as needed with annuity paperwork, licensing, and appointments.
• Trains with a Senior CSA as needed.
• Trains & mentors the other CSAs as needed.
• Handles CSA roles during position vacancies or as needed.
• Serves as a backup trader and implements trades as needed.
• Participates in client meetings with advisor, as needed.
• Attends advisor strategy and tactical kick off meetings.
• Attending various conferences and workshops, as needed.
• Attends all team meetings & retreats, including the annual planning summit (optional).
• Implements a Plan of Work annually.
• Completes training through Kestra University as needed.
• No client retention or management goals.

Experience/Education Requirements

• College Degree or equivalent experience (10+ years as a Sr CSA)
• SIE
• Series 7 (Registered CSA)
• Series 66 (Registered CSA)