Client Service Associate

Edelman Financial Engines seeks a skilled Client Service Associate for our Walnut Creek, CA location. The Client Service Associate provides full support to one or more Financial Planners, ensuring and enhancing client satisfaction through direct contact with clients, vendors, and other operational employees, while adhering to regulatory standards.

Responsibilities:

  • Coordinate client meetings, assist Planner(s) with meeting preparation and participate in client meetings to walk through paperwork and to show you are an integral part of future client interactions
  • Greet clients in a professional and friendly manner; build and nurture the client relationship
  • Provide superior customer service by handling all incoming client requests and planner support vendors sent via phone, email or online
  • Prepare any appointment documentation, review, and mailing materials requested by the planner
  • Monitor client account activity, research and resolve issues, and follow-through to ensure client’s needs are met
  • Prepare and review all new account paperwork to ensure that documents are fully complete, conform to processing guidelines and are accurate 
  • Provide a functional overview to clients for initial access to investment portals (EMAP, SchwabAlliance)
  • Monitor and initiate action on daily custodial alerts and assigned tasks
  • Execute investment buy and/or sell orders 
  • Verify accounts are traded into the correct model and provide trade assistance as needed; track incoming rollovers, other investment funding, and transfers to ensure that all applicable accounts moved as expected 
  • Create, maintain, and track an RMD list utilizing internal and custodian solutions
  • Run and send out performance reports using Envestnet, VEO, and ATLAS CRM
  • Analyze reports to determine the appropriate action to be taken on behalf of client accounts
  • Make proactive use of technology to streamline client interactions; including but not limited to: Online Account Opening Wizard on Schwab, DocuSign/eAuthorization, and EFS legacy DocuSign solution
  • Document key client milestones and/or important data into systems that will assist in future client interactions
  • Identify problems in a timely manner while complying with standard resolution policy, the established corporate process, and regulatory procedures
  • Provide insurance quotes and financial projections to AUM, contingent on licensing requirements
  • Must be able to prioritize work related to client assets and determine the next course of action
  • Maintain risk awareness and compliance with all corporate and regulatory standards
  • Comply with all continuing educational requirements
  • Support the firm’s initiatives, assist with any company-wide projects or activities, and attend functions as needed
  • Participation in projects, task forces, councils, and product rollouts to ensure CSA voice is represented
  • Open, review, and appropriately distribute incoming mail from USPS, FedEx, and UPS
  • Order supplies for the office via applicable approved vendors
  • Collaborate with Facilities to maintain building key cards, parking validations, and log
  • Ensure all office spaces visible by the client are tidy and organized
  • General office management and other ad-hoc duties as assigned

Requirements:

  • 2-5 years of financial services industry experience; preferably in a broker/dealer or registered investment advisor environment
  • Bachelor’s degree or equivalent industry experience preferred
  • Exceptional customer service skills
  • Good understanding of Finance and investment markets/securities
  • Must correlate industry related paperwork with appropriate company procedure, to process necessary transactions and determine the next course of action
  • Must be computer literate and proficient with Windows, Excel, Outlook, and Word
  • Must understand the roles of key business partners and build impactful relationships
  • Able to adapt to changes in the work environment, manage competing demands and work with frequent change, delays or unexpected events
  • Critical thinking, attention to detail, and multi-tasking skills required
  • Position requires a high level of confidentiality
  • Excellent communication and interpersonal skills
  • Dependable/punctual
  • Excellent organizational skills
  • Ability to work in a team environment is required

For more information: www.edelmanfinancialengines.com EOE. A comprehensive background check may be conducted on applicants for this position. Edelman Financial Engines has an employment-at-will policy.

About Edelman Financial Engines

Since 1986, Edelman Financial Engines has been committed to always acting in best interest of our clients.  We were founded on the belief that all American investors – not just the wealthy – deserve access to personalized, comprehensive financial planning and investment advice.  Today, we are America’s top independent financial planning and investment advisor, recognized by both InvestmentNews [1] and Barron’s [2] with 180+ planner offices across the country and entrusted by over 1.1 million clients to manage over $200 billion in assets.   Our unique approach to serving clients combines our advanced methodology and proprietary technology with the attention of a dedicated planner. Every client’s situation and goals are unique, and the powerful fusion of high-tech and high-touch allows Edelman Financial Engines to deliver the personal plan and financial confidence that everyone deserves.

For more information, visit www.edelmanfinancialengines.com and www.financialengines.com.

©2018 Edelman Financial Engines™, LLC All rights reserved. All advisory services provided by Financial Engines Advisors L.L.C. Financial Engines Advisors does not guarantee future results.

[1] Ranking and status for 2017. For independence methodology and ranking, see InvestmentNews Center (http://data.investmentnews.com/ria/);

[2] The Top 40 Independent Advisory Firm Ranking issued by Barron’s is qualitative and quantitative, including assets managed, the size and experience of teams, and the regulatory records of the advisers and firms. Firms elect to participate, but do not pay to be included in the ranking. Investor returns/experience are not considered. 2018 ranking refers to Edelman Financial Services (EFS), which combined its advisory business in its entirety with Financial Engines Advisors L.L.C. (FEA) in November 2018. For the same survey, FEA received a precombination ranking of twelfth.


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