Servicing Advisor

Our well-established and growing Financial Services Firm is seeking to add a Servicing Advisor to our Team! The ideal candidate for this role will be someone who has the desire to work in the industry long-term and contribute to the growth of our business.

In concert with the leading advisor, the Servicing Advisor will ensure our clients are provided with excellent service and care as they continue to pursue their financial goals. The Servicing Advisor handles client calls and questions; sits in on meetings and even takes over to complete intake forms. The Servicing Advisor reviews all prep work for client meetings; sets activities for processing and completes client/prospect follow-up communications per visit notes. The Servicing Advisor will follow up with back-office staff as needed, as well as ensure trades and assets-moved are completed according to plan.

What we offer:

• Competitive salary and performance incentives

• Health benefits paid for employee

• 401(k) with employer match

• Regular social outings

• Collaborative and fun team environment!

Responsibilities:

Data Gathering & Management

• Needed client and product data will be sourced from a variety of sources including meeting notes, paper and electronic files, Redtail CRM, calls made to clients and related contacts or providers, websites and software.

• Take copious visit and call notes.

• Maintain all technology programs we utilize, including the Redtail CRM, to ensure client records are up-to-date and notes are entered in a timely fashion.

• Work with the team members to complete prep prior to visits and remind the lead advisor of execution items set during prior visits.

• Gather client data and document with the goal of both creating opportunities for new assets each year as well as providing other team members the information required to execute recently set activities and tasks.

Analysis

• Prioritize day to day tasks and issues

• Prioritize emails, setting tasks accordingly

• Review the lead advisor’s upcoming calendar & task list, remind the advisor of any outstanding tasks require their attention.

• Review visit notes with the lead advisor to ascertain what action needs to be taken by yourself and other team members, set activities accordingly.

• Update client data in office resources as revealed in client meetings.

• Process trades as directed by the lead advisor.

• Review financial plan prep and request updates as needed from back-office.

• Send visit recap emails to clients and follow-up as needed.

• Listen and repeat expressed client questions, requests, and observations to ascertain the true intent and address accordingly.

Processing & Document Control

• Establish and maintain detailed client files in accordance with office policies and compliance requirements.

• Confirm all accounts/policies are kept up to date with client’s current information.

• Process distributions, contributions, trade requests & annual Required Minimum Distributions as directed by the lead advisor.

• Follow-up as needed with vendor companies and clients/prospects.

• Record notes from advisors, clients, and vendor conversations in the Redtail database, alert lead advisor if an issue arises.

Client Servicing

• Prepare client correspondence including letters and email correspondence, including recap emails to clients after visits.

• Complete & process servicing requests, resolve inquiries.

• Respond to prospect and client inquires preferably same day, or within 24 hours at most.

• Operate with a proactive approach to lead advisors, prospects, and clients.

• Assist clients with eMoney integration.

• Confirm the opening, as needed, closing & transferring of accounts with the back-office.

• Create and review a strategic visit agenda with the lead advisor for upcoming visits and share the agenda with clients prior to visits.

• Look for additional opportunities to better the client’s situation and grow our business with the management of new assets.

• Provide the lead advisor with reports as needed.

• Assist other team members as needed.

Qualifications:

• Bachelor’s degree and experience as a client facing advisor

• 3 – 5 years previous experience processing detailed annuity, life and AUM paperwork

• Series 65 license required

• Life and Health Insurance license preferred

• Knowledge of key financial, investment and risk management concepts

• Strong technical proficiency with MS Office Suite and Excel

• Working knowledge of Redtail or similar CRM beneficial

• Experience working in a fast-paced environment where change is constant

• Excellent written and verbal communications skills

• Highly motivated and organized self-starter who needs little or no supervision

This employment position will require background checks given the independent financial
advisor’s association with AE Wealth Management, LLC (AEWM), due to regulatory requirements.
However, this position is not offered through or by AEWM. Instead, this opportunity is offered solely by
the independent financial advisor solely in connection with their independent investment advisor
practice. The independent financial advisor is not employed by, nor authorized to engage or employ any
individual on behalf of, AEWM. All employment obligations are the sole obligation of the independent
financial advisor.