The Client Service Associate at Axiom Advisory, LLC is an integral part of our team, serving as the true connection between our clients and the entire Axiom team. This great communicator, influencer, and enthusiastic person will support the vision, positive culture, and team spirit across our firm and clients.
The key role of this position is to engage and support the overall success of our Advisory and Client Services teams. The Client Service Associate focuses on supporting basic client support requests, and project managing assignments. This individual enjoys and excels at supporting the client service and advisory teams’ day to day tasks and projects.
This position requires a pro-active approach and an ability to independently carry out the duties of the position. The ideal candidate will exhibit high standards, excellent communication skills, good judgment, and an ability to take initiative, and prioritize daily tasks. The ability to effectively manage time and multi-task with attention to detail is critical to this role. The Client Service Associate must be confident about decision-making under uncertainty and under extreme time pressure.
Client and Firm Engagement
- Provides administrative support as needed: answers calls, manages contacts, manages schedules, expenses, books travel, types correspondence, produces reports, and creates presentation materials
- Maintains and retains office files consistent with firm/professional policies and requirements
- Supports marketing and client events as requested including newsletters, blog, social, website, communications, office events, etc.
- Conducts other administrative related tasks and projects as needed
- Sends paperwork to clients using the electronic signature system while adhering to the Custodian’s compliance rules pertaining to electronic signatures
- Quality check and submit custodial items for processing
- Engage and support weekly Client Prep meetings, ensuring Advisory and Client Services teams are ready and prepped for upcoming client meetings
- Support client onboarding requirements for financial planning and investment management applications
- Prepare and produce back-office support demands for complex client account requests
- Support back-office initiatives and/or core projects that support Advisory teams
- Gather and prepare necessary information for advisory meetings with clients.
- Supports Compliance to maintain an effective and robust investment advisory compliance program
- Conducts certain compliance program tests
- Performs other compliance related tasks and projects as assigned
Experience and Education:
- Bachelor’s degree
- Series 65 and pursuit of Financial Paraplanner Qualified Professional (FPQP) Certification
- 0-4 years of experience in a financial services firm with an emphasis in either client services and/or operations
- Leadership experience demonstrated through reporting structure or special projects
- Experience with investments and financial planning applications preferred
- Experience working with various custodial platforms
Skills and Knowledge:
- Excellent communication skills (verbal, written and listening)
- General tech stack proficiency (Google Apps, MS Office, Slack, DocuSign, etc.)
- Knowledge of RIA operations, regulations, compliance, and oversight
- Demonstrates personal integrity, honesty and can deal with confidential information daily
- Ability to handle stress in an ever-changing investment market
- Excellent time management and strong organizational skills
- Ability to prioritize multiple tasks and anticipate potential problems
Axiom Advisory, LLC
San Diego, CA