Client Services Associate

Kelly; O’Fallon (MO); Hybrid; USD 42,000 - 60,000; Full time

Benefits offered by this job

Hybrid work model

Job summary

Kelly is seeking a Client Services Associate in O’Fallon, MO. The role focuses on servicing Investment and Banking clients via inbound/outbound calls and email, while ensuring KYC/AML compliance and proper documentation.

The position involves guiding clients to suitable digital or in-market advisory solutions, coordinating with partners, and handling inquiries with accuracy. Training begins with intensive in-office weeks, then hybrid work 3 days a week.

Qualifications

• 0–2 years of customer service experience with investments or investment-related products preferred.
• Understanding of investment concepts and financial planning basics is a plus.
• Strong written and verbal communication; ability to work independently within procedures.

Responsibilities

• Serve and support Investment/Banking clients via phone and email with timely responses.
• Articulate value propositions and match clients with appropriate products and services.
• Manage KYC/AML compliance and regulatory procedures in all client interactions.
• Refer opportunities to segment partners as appropriate and maintain end-to-end issue resolution.

Skills

Communication

Customer service

Regulatory awareness

KYC/AML knowledge

Financial products

Education

Bachelor’s degree

Master’s degree preferred

Tools

Microsoft Office

Job description

Job: Client Services Associate (Active Series 7 & Series 66 (combo of 63 and 65) licenses)

Location: O'Fallon, MO - INITIALLY 5X PER WEEK FOR TRAINING FOR THREE WEEKS / AFTER TRAINING, HYBRID 3X PER WEEK

Job Description

The Client Services Associate is a developing professional role, fully responsible for servicing and supporting internal and/or external clients primarily through inbound and outbound phone calls and adhering to Know-Your-Customer (KYC) and Anti-Money Laundering (AML) procedures for our Investment and/or Banking clients. The ideal candidate possesses knowledge of the financial industry, with the ability to identify channel and account solutions that best meet the needs of the client, which may include digital platforms, centralized team-based advice, or in-market, dedicated advice.

Responsibilities:

• Fully accountable for servicing and supporting our Investment and/or Banking clients.
• Able to clearly articulate business value proposition, matching clients with the correct set of products and services.
• Responsibly and professionally engage with clients to facilitate the transition of individuals whose needs are better aligned with digital solutions.
• Confidently articulate the value proposition for our Private Client and digital programs available.
• Directly responsible for providing timely responses to client service requests, received via telephone or email.
• Provides exceptional support and issue resolution– all client issues will be owned end to end by the associate and will be treated with a closed loop process.
• Ensures customer claims and complaints are handled in accordance with FINRA and firm policy.
• Refer opportunities to segment partners where appropriate (including, but not limited to Senior Wealth Advisor, Small Business Partners, Home Lending Officer, Digital Wealth Solutions, etc.)
• Manage client follow-up and adhere to all Regulatory and Compliance operating procedures
• Ensure that KYC/AML and other compliance norms are strictly adhered to
• Appropriately assess risk when business decisions are made, demonstrating consideration for the firm's reputation and safeguarding our firm, its clients, and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.

Qualifications:

• 0-2 years relevant experience in Customer Service with emphasis in investments or investment-related products preferred.
• Prior work experience in a related job that would provide a comprehensive understanding of activities, policies, procedures, and concepts of the work area.
• Basic understanding of investment and financial planning strategies preferred.
• Understanding of multiple products across business lines combined with exceptional networking and relationship building skills.
• Excellent verbal and written communication skills. Ability to communicate at a professional level.
• Capable of working independently within established procedures and make decisions without manager approval.
• Able to perform multiple functions with a high degree of accuracy.
• Ability to support a diverse array of products and services.
• Knowledge of Microsoft Office (Excel, Outlook, and Word) preferred.
• Securities Industry Essentials – SIE - Active Series 7 & Series 66 (combo of 63 and 65) licenses (required): THEY CANNOT HAVE A LAPSE OF TWO YEARS FROM PREVIOUSLY WORKING AT A FINANCIAL INSTITUTION THAT HELD THEIR LICENSE…AS THIS WOULD CAUSE THE LICENSE TO EXPIRE

Education:

Bachelor’s/University degree, Master’s degree preferred