Client Service & Operations Associate

TalentWealth; Austin (TX); On-site; USD 65,000 - 90,000; Full time

Job summary

TalentWealth in Austin, TX is seeking a Client Service and Operations Specialist to provide administrative and operational support to investment advisors and clients. You will handle service requests, process transactions, and ensure compliance with firm policies.

The role emphasizes client retention, strong organization, and collaboration to streamline processes, with opportunities to participate in financial planning activities and technology initiatives.

Qualifications

• Bachelor’s Degree from an accredited institution is required or a combination of an equivalent education and experience.
• A minimum of 3-5 years securities industry experience or related field preferred.
• Series 65 (Uniform Securities Agent State Law Examination) OR applicable license preferred
• Strong leadership experience demonstrated.

Responsibilities

• Handle client service needs and inquiries by phone and in person.
• Process client transactions including account openings, transfers, beneficiary changes, and investment adjustments.
• Oversee onboarding of new clients including account opening and transfers, online access setup, and maintain active communication with clients regarding the status of all open items
• Ensure timely and accurate documentation of client interactions in the firm’s CRM system.
• Maintain client information and review client account activity to ensure overall accuracy; follow up on client documentation for proper maintenance of accounts.
• Assist advisor staff with scheduling client meetings, preparing meeting materials and presentations
• Assist in the financial planning process by gathering the required data from clients and preparing materials for presentation to clients
• Work with team to innovate and streamline processes, procedures and customized workflows, including evaluation and implementation of future technology initiatives
• Proactively identify areas for process improvement and provide recommendation on strategies to enhance efficiency, client service quality, and overall firm performance.
• Develop and maintain written standard operating procedures, how-to documents and workflow diagrams
• Perform other duties as assigned by management.

Skills

Interpersonal skills

Communication skills

Microsoft Office proficiency

CRM proficiency

Client relationship building

Time management

Problem solving

Process improvement

Team collaboration

Attention to detail

Education

Bachelor’s degree

Tools

CRM system

Microsoft Office Suite

Job description

Based in Austin, Texas, our client is a registered investment advisory firm providing investment management and financial planning services to individuals, families and organizations. They are a multi-generational, family-founded firm with over 40 years of trusted service to our clients. Thet offer the opportunity to work in an intimate and dynamic environment, positioning the candidate for continued professional growth and impact.

General Job Description:

Job Summary

The Client Service and Operations Specialist is responsible for providing administrative and operational support to investment advisors and clients. This role ensures that client service requests are handled efficiently and in compliance with firm policies and industry regulations. The successful candidate will build and maintain a strong rapport and professional relationship with clients with a distinct commitment to client retention and superior customer service. Possession of extraordinary organizational skills, self-motivation and attention to detail along with the ability to manage time efficiently, effectively resolve problems, and work collaboratively with team members to improve internal business practices is crucial to the role.

• Regular interaction on the phone and in person with existing and prospective clients, handling service needs and inquiries.
• Process client transactions, including account openings, transfers, beneficiary changes, and investment adjustments.
• Oversee the onboarding of new clients, including account opening and transfers, online access setup, and maintain active communication with clients regarding the status of all open items
• Ensure timely and accurate documentation of client interactions in the firm’s CRM system.
• Maintain client information and review client account activity to ensure overall accuracy; follow up on client documentation for proper maintenance of accounts.
• Assists advisor staff with scheduling client meetings, preparing meeting materials and presentations
• Assists in the financial planning process by gathering the required data from clients and preparing materials for presentation to clients
• Work with team to innovate and streamline processes, procedures and customized workflows, including evaluation and implementation of future technology initiatives
• Proactively identify areas for process improvement and provide recommendation on strategies to enhance efficiency, client service quality, and overall firm performance.
• Develop and maintain written standard operating procedures, how-to documents and workflow diagrams
• Perform other duties as assigned by management.

Experience & Education

• Bachelor’s Degree from an accredited institution is required or a combination of an equivalent education and experience.
• A minimum of 3-5 years securities industry experience or related field preferred.
• Series 65 (Uniform Securities Agent State Law Examination) OR applicable license preferred
• Strong leadership experience demonstrated.

Skills & Knowledge

• Strong interpersonal and communication skills, both orally and in writing, with the ability to build rapport and trust with clients and colleagues
• Proficient in Microsoft Office Suite required
• Desire to learn and leverage innovative technologies to optimize the client experience
• Proficiency in firm CRM preferred
• Demonstrates personal integrity, honesty, and ability to deal with confidential information
• Enhance the client experience through a superior level of customer service.
• Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
• Unquestionable sense of urgency and ownership of client service requests and inquiries.
• Working knowledge of investment concepts, practices and procedures used in the securities industry.