Client Service Associate/Trader
Hilltop Wealth Advisors is seeking a Client Service Associate/Trader who will serve as a vital link between clients and the firm. This role involves providing administrative support, managing trading activities, and ensuring client success through effective communication and project management.
Responsibilities
- Provide administrative support as needed: answers calls, manages contacts, manages schedules, produce reports, and creates presentation materials
- Maintain and retain office files consistent with firm/professional policies and requirements
- Support marketing and client events as requested including newsletters, blogs, social, website, communications, office events, etc
- Conduct other administrative related tasks and projects as needed
- Execute on the firms day-to-day trading activities under the supervision of the Director of Operations
- Monitor portfolios, rebalance accounts, ensure fair execution and trade review for compliance
- Sends paperwork to clients using the electronic signature system while adhering to the custodians’ compliance rules pertaining to electronic signatures
- Quality check and submit custodial items for processing
- 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
- Engage and support weekly prep for client 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 basic 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
Skills
- Bachelor's degree
- 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
- Excellent communication skills. (verbal, written and listening)
- General tech stack proficiency
- 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
- Pursuit of Financial Paraplanner Qualified Professional (FPQP) Certification
- Experience with investments and financial planning applications
- Experience working with various custodial platforms
Benefits
- Comprehensive medical, dental, vision, and life insurance benefits
- 401(k) with matching contribution
- Generous paid time off
- Volunteer time off
- Flexible work-from-home policy (up to five days per month, with Monday and Thursday designated for in-office collaboration)
- Ongoing educational reimbursement opportunities
Company Overview