Service Associate

allworthfinancial; Walnut Creek (CA); On-site; USD 85,000 - 120,000; Full time

Job summary

Allworth Financial in Walnut Creek, CA is seeking a Service Administrator to support our Financial Advisors and enhance client experiences. You will manage client relationships, coordinate service delivery, and educate clients on available services and tools.

This full-time role reports to the Service Team Lead and requires a client-focused mindset, strong communication, and meticulous documentation. Responsibilities include onboarding clients, handling inquiries, processing paperwork, and

Qualifications

• 10+ years in the Financial Services industry, preferably at an RIA or Wealth management firm.
• Bachelor's degree in finance, business, or a related field; advanced certifications (e.g., CFP®, CFA®) preferred.
• Strong relationship management skills.
• Advanced proficiency in CRM systems, custodial platforms, and financial planning software.
• Demonstrated leadership abilities with a track record of process improvement and client satisfaction.
• Excellent communication, problem-solving, and analytical skills with a high level of accuracy and attention to detail.
• Advanced understanding of regulatory requirements for RIAs, including familiarity with SEC and FINRA guidelines.
• Excellent verbal and written communication skills.
• Ability to multi-task and prioritize work daily with frequent interruptions.

Responsibilities

• Act as the primary liaison for clients, providing exceptional service and proactively addressing client needs and inquiries.
• Develop and nurture long-term client relationships, understanding their financial goals, preferences, and expectations.
• Anticipate client needs, manage escalated issues, and ensure timely and accurate communication.
• Work alongside advisors to educate clients on available services, online tools, and other resources to enhance their experience and engagement with the firm.
• Understand department workflows, policies, and procedures to submit requests correctly and timely.
• Reports to the Service Team Lead, providing feedback, and mentoring associates within the Service teams.
• Coordinate with internal teams, including advisory and operations, to resolve complex client requests and streamline service delivery.
• Ensure accurate execution of trades, account transactions, and client distributions while maintaining strong data integrity.
• Collaborate with custodians and back-office teams to troubleshoot issues, manage account transfers, and ensure seamless account maintenance.
• Ensures a seamless onboarding experience and works with clients to set a great first impression.
• Coordinates client appointments, processes requests received from advisors and clients.
• Provides notary services for client transactions and handles paperwork efficiently.

Skills

Relationship management

Communication

Leadership

Problem-solving

Attention to detail

Multi-tasking

Team player

Professionalism

Education

Bachelor's degree in finance, business, or related field

CFP® / CFA® preferred

Tools

CRM systems

Custodial platforms

Financial planning software

Job description

About Allworth Financial

Allworth Financial ( www.allworthfinancial.com ) is an independent investment advisory firm providing full-context wealth planning solutions. The firm brings together investment, tax, retirement, estate, and other financial considerations to help clients evaluate decisions in the context of their whole financial lives.

Founded in Sacramento, California, in 1993, Allworth Financial is a high-growth, private equity-backed, multibranch registered investment adviser. Allworth is primarily a fee-based fiduciary advisory firm that emphasizes client well-being and education. The firm continues to expand through acquisitions and organic growth.

Allworth is a great place to work and build a career. The firm ranks among the top 15 on Barron's Top 100 RIA Firms list, has a historical client retention rate of 97%, and is a National Business Research Institute (NBRI) Circle of Excellence Award winner. Learn more at AllworthFinancial.com.

SUMMARY:

Our Service Team consistently strives for service excellence. Service Administrators work with our Service team and provide support to our Financial Advisors. This role goes beyond day-to-day client support and requires a strategic approach to managing client needs, improving service processes, and supporting our financial advisory team in delivering best-in-class financial guidance. You will bring extensive experience in financial services, excellent relationship-building skills, and a commitment to improving the client experience at every interaction.

This is a full-time, non-exempt role based out of our Walnut Creek, CA office.

DUTIES AND RESPONSIBILITIES

Strategic Client Relationship Management

• Act as the primary liaison for clients, providing exceptional service and proactively addressing client needs and inquiries
• Develop and nurture long-term client relationships, understanding their financial goals, preferences, and expectations
• Anticipate client needs, manage escalated issues, and ensure timely and accurate communication
• Work alongside advisors to educate clients on available services, online tools, and other resources to enhance their experience and engagement with the firm
• Understand department workflows, policies, and procedures to submit requests correctly and timely

Leadership

• Reports to the Service Team Lead, providing feedback, and mentoring associates within the Service teams
• Ensure consistent, high-quality service and fostering a client-centered culture
• Implement and refine client service processes to increase efficiency and enhance the overall client experience
• Ensure compliance with regulatory and firm standards for client communication, documentation, and account management
• Coordinate with internal teams, including advisory and operations, to resolve complex client requests and streamline service delivery

Advanced Account Management & Oversight

• Ensure accurate execution of trades, account transactions, and client distributions while maintaining strong data integrity
• Collaborate with custodians and back-office teams to troubleshoot issues, manage account transfers, and ensure seamless account maintenance

Operations

• Ensures a seamless onboarding experience and works with clients to set a great first impression
• Coordinates client appointments, processes requests received from advisors and clients
• Provides notary services for client transactions
• Achieves high quality and accuracy of work
• Answers phone calls and emails from clients, always following up with each client's request
• Prepares and processes client paperwork

QUALIFICATIONS

• 10+ years in the Financial Services industry, preferably at an RIA or Wealth management firm
• Bachelor's degree in finance, business, or a related field; advanced certifications (e.g., CFP®, CFA®) preferred
• Strong relationship management skills
• Advanced proficiency in CRM systems, custodial platforms, and financial planning software
• Demonstrated leadership abilities with a track record of process improvement and client satisfaction
• Excellent communication, problem-solving, and analytical skills with a high level of accuracy and attention to detail
• Advanced understanding of regulatory requirements for RIAs, including familiarity with SEC and FINRA guidelines
• Excellent verbal and written communication skills
• Ability to multi-task and prioritize work daily with frequent interruptions
• Flexible and embraces change
• Strong team player and approachable
• High degree of professionalism
• Proficient with Microsoft Office applications required

PHYSICAL REQUIREMENTS

• Works in an office environment
• Requires extended periods of sitting or standing at a desk, talking on the phone, and typing
• Use hands, fingers to constantly operate a computer and office equipment, such as copy machine and printer
• Occasionally move about inside the office to access file cabinets, office equipment, etc.
• May carry or lift weight up to 10 lbs. in very limited occurrences

BENEFITS

We value our associa