Client Service Associate

Job Summary

As a member of the Client Service Team, your primary role is administration and operation of clients’ ‘held away accounts’. The Client Service Associate is responsible for maintaining liaison between clients and team members to ensure clients’ needs are being met and back office operation including obtaining updated information, preparing account paperwork, assisting with trading and other portfolio administrative duties.

Position Qualifications

o Associate’s Degree or higher

o Proficiency in Word, Excel, PowerPoint, Outlook

o Must be organized, detail-oriented and able to multitask

o Client first attitude with a commitment to delivering superior client service at all times

o Exceptional written and verbal communication skills

o Ability to interact with clients in a professional manner

o Team player, collaborative, able to work with and through others

o Desire and ability to work successfully in a small company environment

Duties and Responsibilities

The Client Service Associate can expect to focus in the following areas:

• Update and maintain retirement plan accounts through ByAllAccounts service:

o Link ‘held away accounts’ for new clients

o Set up groups and accounts for management of client portfolios in rebalancing software

o Open client accounts and attend to client requests

o Assist clients with employer plan trading and setting up future contributions

• Assist with Investment Analysis:

o Obtain updated account statements and investment options

o Review clients’ employer plan investment options

• Communicate with clients, verbally and in writing:

o Communicate with clients in a professional, timely manner

o Deliver accurate and clear instructions as needed

o Follow up with clients as necessary to gather needed information and to complete tasks

o Serve as liaison between financial advisor and client as needed

• Serve as point of contact with custodians for advisors and clients:

o Handle incoming calls from custodian support teams

o Assist with account administration preparing custodian forms, sending and receiving forms from clients, and review for accuracy prior to submission for processing

• Assist with quarterly reporting projects:

o Verify data and settings are ready for reporting

o Utilize software that assembles and files quarterly reports

• Trading:

o Propose trades for administrator/advisor review

o Upload trades on daily basis

o Ensure the trading team is able to work with current and error free data

About Rowling & Associates

Rowling & Associates (R&A) is an award-winning, fee-only registered investment advisory firm located in San Diego, CA. Our firm distinguishes itself as the experts in tax-efficient financial planning. We do this by focusing on complex tax planning strategies and implementing tax-efficient investment techniques. Sheryl Rowling, R&A’s principal, also founded a rebalancing software company called Total Rebalance Expert (TRX) that was sold to Morningstar in 2015.

R&A is a progressive team of individuals that fully support each other and enjoy working together. We have a creative and fun work environment where everyone holds themselves accountable. This creates a comfortable, safe environment for our clients to feel at ease discussing their financial situations.

We tend to be early adopters of new technology in a rapidly evolving industry. We are currently developing a new service focused on Gen X and Y, recently completed a major rebranding and website overhaul, striving to be completely paperless (we saved over 21 trees last year with our recycling efforts!) and continuously figuring out new ways to be more efficient.

It’s an exciting time to become a member of the R&A team! We offer an amazing opportunity to work for a fee-only wealth management firm where the focus is on helping our clients and not on selling products. You will gain experience in all aspects of client service, trading, wealth management, and firm operations. We offer excellent benefits including fully paid health insurance, 401(k), pension plan funded by company contributions, business casual dress (no formal suits allowed!), and free personal training four days per week.