Sr Client Registered Services Associate

Century City-based wealth and investment management firm with over $50 billion in assets under management is seeking an exceptional individual to join our Wealth Advisory Group as Senior Investment Advisor Associate.

The successful candidate will work as part of a growth-focused advisory team to provide a professional and exceptional level of client service to affluent investors.

Responsibilities:

• Act as primary service related and administrative contact for high-net-worth investors and their professional advisors (CPA’S, business managers, attorney’s).

• Act as project lead or participate extensively in department or firm level projects.

• Open new accounts and monitor progress.

• Provide daily client service, including but not limited to, investing deposits, calculating withdrawals, handling cashiering needs, facilitating tax trading, charitable gifting, required minimum distributions, special requests, account re-registrations, cost basis step up, custom report creation, address changes, and account terminations, and preparing tax analysis reports.

• Execute asset allocation changes based on Advisor recommendation and monitor progress.

• Schedule Advisor-Client meetings and prepare portfolio review book materials.

• Attend in house or off site meetings or events as requested by Advisor.

• Maintain and update client files, CRM and other portfolio data, as needed.

• Collaborate with management to improve practices and procedures

Qualifications:

• Undergraduate degree

• Series 7 preferred

• 5 + years client service working with high net worth individuals at an investment management firm, private bank, or broker/dealer with history of increasing responsibilities.

• Fundamental knowledge of equity and fixed income markets and alternative asset classes

• Knowledge of nuances in setting up various account registrations, including documentation required and limitations behind such registrations.

• Experience with and knowledge of paperwork and workflow associated with custodians such as Charles Schwab and/or Fidelity Investments.

• Commitment to, and demonstrated history of, providing the best service levels to clients as well as to internal constituents

Skills Required:

• Leadership ability – able to provide guidance to junior team members.

• Comfortable interacting with senior level managers and outside parties.

• Teamwork – ability to collaborate in a professional and constructive manner.

• Excellent verbal and written communication skills.  

• Strong interpersonal, organizational and quantitative skills.

• Strong attention to detail, math aptitude, and the ability to multi-task.

• Strong client service mind-frame

• Independent, self-starter, possessing initiative, drive, composure and enthusiasm.

• Proficiency in Excel and Word.