Job Title: Client Service Associate Full or Part Time: Full-Time
Department: HORAN Wealth FLSA Status: Exempt
Position Reports To: Sr. Relationship Manager

POSITION SUMMARY:

The Client Service Associate role is a key member of the Wealth Management advisory team who is responsible for assisting the Financial Advisor/s of the HORAN Wealth department with day-to-day needs. This role is a liaison between our financial advisory teams, our compliance department and other Wealth team members. A Relationship Manager is the first person that clients contact in order to help with various needs that change depending on the day. It is crucial that a Client Service Associate excels in both written and verbal communication skills.

QUALIFICATIONS REQUIRED:

• 4-year degree from an accredited University.
• Minimum of 3 years (preferably more) in the Financial Service Industry.
• Series 6 or Series 7 Required.
• Health and Life License preferred.

DESIRED SKILLS:

• Ability to multi-task and prioritize independently.
• Strong attention to detail; the ability to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems.
• Possess strong sense of accountability with a diligent work ethic. Must be self-motivated, enthusiastic, and able to take the initiative to get the job done.
• Ability to work as a team member and express leadership attributes.
• Familiarity with Investment Advisor Platform – Fidelity preferred
• Familiarity Asset Management Platform - Black Diamond preferred
• Familiarity with Morningstar Platform preferred
• Familiarity with retirement plans such as 403(b)s and 401(a)s preferred

• Prepare and process paperwork for new business and submit to carriers/custodians.
• Provide service to individuals regarding allocation changes, beneficiary changes, address changes, etc. Trouble shooting and problem solving for clients.
• Prepare and process transfers, rollovers, and money movements.
• Trouble shooting and problem solving for clients.
• Follow-up on all transactions, applications, etc. sent to the carriers.
• Inputting, maintaining, and organizing client files in CRM database and AppXtender.
• Schedule appointments, preparing and editing correspondence for Investment Advisor/Registered Representative.
• Prepare portfolio reviews (via Morningstar or Black Diamond), coordination of information, and visual aids necessary for the successful completion of presentations to clients and/or prospects.
• Assist Investment Advisor/Registered Representative with the servicing of 403(b), 457(b), IRA, and Wealth Management accounts for individuals and groups.
• Act as backup to trader completing trades and rebalances as necessary
• Assist in preparing mailing list and mailings for Compliance Department
• Responsible for keeping up-to-date on market trends, new products, Firm Element, and NASD continuing education.
• Other duties as may be assigned