Registered Client Associate
Job Title: Registered Client Associate
Location: W Los Angeles
Firm in Century City is seeking an exceptional individual to join our Wealth Advisory Group as a Senior Investment Advisor Associate. The successful candidate will work as part of a growth-focused advisory team to provide a professional and exceptional level of client service to affluent investors.
- Act as primary service-related and administrative contact for high-net-worth investors and their professional advisors (CPA’S, business managers, attorney’s).
- Act as project lead or participate extensively in department or firm level projects.
- Open new accounts and monitor progress.
- Provide daily client service, including but not limited to, investing deposits, calculating withdrawals, handling cashiering needs, facilitating tax trading, charitable gifting, required minimum distributions, special requests, account re-registrations, cost basis step up, custom report creation, address changes, and account terminations, and preparing tax analysis reports.
- Execute asset allocation changes based on Advisor recommendation and monitor progress.
- Schedule Advisor-Client meetings and prepare portfolio review book materials.
- Attend in-house or off-site meetings or events as requested by Advisor.
- Maintain and update client files, CRM and other portfolio data, as needed.
- Collaborate with management to improve practices and procedures.
- Undergraduate degree
- Series 7 preferred
- 5 + years client service working with high net worth individuals at an investment management firm, private bank, or broker/dealer with history of increasing responsibilities.
- Fundamental knowledge of equity and fixed income markets and alternative asset classes
- Knowledge of nuances in setting up various account registrations, including documentation required and limitations behind such registrations.
- Experience with and knowledge of paperwork and workflow associated with custodians such as Charles Schwab and/or Fidelity Investments.
- Commitment to, and demonstrated history of, providing the best service levels to clients as well as to internal constituents.
- Leadership ability – able to provide guidance to junior team members.
- Comfortable interacting with senior-level managers and outside parties.
- Teamwork – ability to collaborate in a professional and constructive manner.
- Excellent verbal and written communication skills.
- Strong interpersonal, organizational and quantitative skills.
- Strong attention to detail, math aptitude, and the ability to multi-task.
- Strong client service mind-frame
- Independent, self-starter, possessing initiative, drive, composure and enthusiasm.
- Proficiency in Excel and Word.