Executive Client Service Associate

This position provides dedicated, exclusive, and comprehensive office, operational, sales, and service support to Executive Wealth Advisors and/or supports multiple Wealth Advisors with accumulated AUM totaling $100 million or more.

The Executive Client Service Associate is responsible for performing in this role effectively and efficiently in order to maximize Executive Wealth Advisor performance, address any and all members and member clients’ needs (inbound and outbound), achieve Asset Under Management (AUM) and production (GDC) goals, and support the achievement of corporate financial and sales goals. This role also involves identifying and servicing client/member financial needs by means of cross-selling multiple financial products/services in order to meet those needs.

Primary Responsibilities

• Assist Executive Wealth Advisors through the entire sales cycle
• Address all member and member clients’ servicing needs
• Paperwork and processing
• Assist with all elements related to new account processing including data entry into contact management system and LPL and/or outside investment paperwork.
• Perform financial transactions on behalf of Executive Wealth Advisors and clients through LPL and/or other direct business vendors.
• Exercise sound judgments during contact with current and/or prospective clients to determine needs direct opportunities to Executive Wealth Advisors and/or to Partners FCU.
• Maintain and update contact management system (CRM) and ensure distribution of routine client letters.
• Assist with sales tracking, including data compilation and entry into Synapsys (referral) system.
• Assist with all marketing efforts including seminars, special client events, referral contests and other cross-departmental promotions.
• Initiate outbound phone calls/emails proactively to set up client appointments; receive and route incoming phone calls, and set up appointments as necessary.
• Perform a wide range of duties that require exercising judgment, analysis and problem solving to determine appropriate courses of actions.
• Interact with various departments of LPL Financial (B/D) to facilitate daily business operations and resolve servicing issues – account specific, compliance and operational procedures, client requests, etc.
• Interact with Credit Union and Wealth Management departmental Staff, Members and Clients to ensure business/servicing needs are met and communications clear and understood.
• Support Partners Retirement and Wealth Management’s business plan, budget and marketing functions.
• Develop and apply sufficient knowledge of the securities and insurance industries to better serve current and prospective clients.
• Provide assistance for meeting and event coordination and planning, including but not limited to reservations, materials, agenda, confirmation and follow-up.
• Act as primary contact for the PRWM management and Executive Wealth Advisors – carrying out business objectives and strategy via effective executions.
• Develop and maintain relationships through telemarketing with existing and prospective clients, The Walt Disney Company, operating participants and other entities to support Partners Retirement and Wealth Management’s overall goals and objectives.
• Keep current with LPL and industry regulations to ensure all compliance needs/requirements are met/satisfied.
• Analyze information; prepare reports, manuals, correspondence and memoranda.
• Send/receive faxes, make copies, create client files, and scan paperwork for electronic filing/recording.
• Maintain and update all compliance-related files and records; assist with LPL and other regulatory audits.
• Maintain and update client files, information, documents and records for PRWM management and Executive Wealth Advisors.
• Effectively handle various communications from, and to, clients via mail, telephone and e-mail, and determine the appropriate action that needs to be taken.
• Follow up with other departments, employees and vendors to ensure business objectives and needs are properly met.

Required Qualifications

• Bachelor's Degree
• Minimum 3 years relevant Financial Services experience
• FINRA Series 7
• FINRA Series 63 (N/A if FINRA 65 is met)
• FINRA Series 65 or 66
• State Insurance License
• Microsoft Office Suite
• Adobe Software
• Professionalism
• Professional Demeanor
• Professional, business and personal ethics
• Solution-oriented
• Flexibility
• Independence
• Proactive
• Initiative
• Organizational skills / Time-management
• Responsibility
• Technical Leadership
• Ability to work on multiple projects at one time
• Detail-oriented
• Goal-oriented
• Deadline-driven
• Passion for learning
• Teamwork
• Skills in: Sales, Services, Operations & Administrative areas
• Office management
• Critical thinking
• Emotional intelligence
• Multi-tasking
• Ability to handle projects of varying scope
• Advanced math
• Analytical
• Conflict resolution
• Customer service
• Decision making
• Influence and negotiation
• Interpersonal
• Leadership
• Mathematical reasoning
• Phone etiquette
• Problem-solving
• Reading
• Verbal communication etiquette
• Written communication etiquette

Preferred Qualifications

• LPL Branch Net
• CRM (e.g., GoldMine, SalesForce, Redtail)
• Symitar (Credit Union specific; a strong plus)
• Synapsys (Credit Union Specific; a strong plus)