Client Relationship Specialist - Wealth Management (Finance)

Job Purpose : Responsible for coordinating and providing asset management support while utilizing a team approach. Monitors transactions and various other client needs and wants on investment accounts, as well as other financial planning needs.

Essential Job Functions : PROVIDES CLIENT RELATIONSHIP SUPPORT FOR ADVISORS. Facilitates and executes tasks and ensures prompt and complete follow through.

Maintains Progress Review meeting schedule. Actively maintains advisors’ calendars and schedules and confirms appointments.

Prepares meeting prep including Client Profiles, Team Pages, Client Service Policy Statements, Dan Allison Client Conversation piece, performance reports, including certain institutional reports.

Analyzes annuity contracts for prospects and current clients to provide details to the advisor, so that a recommendation can be made.

INTERFACES WITH CLIENTS TO PROVIDE EXCEPTIONAL SERVICE. Follows up with clients for additional information required by Advisors.

Meets with clients as requested by Advisors and follows up on client questions and concerns with Advisors. Serves as contact / resource for clients calling with questions regarding their asset management accounts.

Executes on directions from clients to meet any of their transactional and other needs. Forwards calls or questions that cannot be answered to an Advisor or Associate Advisor as appropriate.

Communicates daily with asset management team members regarding items that affect clients who are currently being served.

Contacts clients and prospects to gather financial documents and estate planning documents to assist in building a Financial Goal Plan through Money Guide Pro.

INTERFACES WITH CUSTODIANS. Initiates transactions and paperwork and communicates with custodians on a daily basis regarding alerts and other maintenance.

Maintains appropriate documentation and records, as required by custodians and other regulatory bodies. Serves as contact for National Advisors Trust Company, TD Ameritrade, Fidelity, Schwab, The Standard & Principal to provide requested information as needed.

FACILITATES NEW CLIENT ONBOARDING AND ACCOUNT OPENINGS / TRANSFERS. Works with Advisors to onboard new clients from initiation through completion.

Requests contracts, DIMA Authorization Forms, driver’s license copies, and other appropriate new account and / or account transfer paperwork.

Runs OFAC checks. Oversees transfer of assets and / or accounts to JFS. Coordinates preparation of an Investment Policy Statement (IPS) for each account prior to assigning a model to or trading the account.

Ensures that accounts are properly set up in AdvisorView, including custom fields and sets and CRM. Sets accounts up for any special features needed, including check writing, distributions, RMD’s, margin, etc.

Works directly with clients and custodians, as needed and appropriate. COMPLETES ADMINISTRATIVE FUNCTIONS RELATED TO CLIENT'S ACCOUNTS.

Processes additional funds into existing accounts as instructed. Provides delivery instructions for various types of assets.

Processes daily deposits. Fulfills distributions requests, including ensuring cash availability. Ensures, with Advisors, that RMDs are taken appropriately.

Processes account closures and client terminations, including launching appropriate workflows involving compliance, operations, and billing.

Completes required and requested account maintenance and account service (ex. beneficiary changes, address changes, etc.

Assists in coordination of quarterly and semi-annual investment review report preparation, review, and processing. Runs reports and global reports in AdvisorView as needed.

Submit trade requests, from Advisor’s direction, for new / existing accounts. Review incoming funds on Daily Deposits and determine if threshold is met to invest, research and make suggestions to Advisor.

Reviews Daily Trade Blotter to confirm all proposed trades were entered as requested. Reviews executed Investment Policy Statements to verify accounts were invested per Advisor’s recommendation, verify allocation.

Ensures plan participants’ investment allocations were executed correctly by The Standard and along with other initial enrollment verification.

CONTRIBUTES TO TEAM EFFORT . Interacts with multiple teams across the firm including sub-team of Advisors, CRSs, the CSS Team, Para Planners, and Tax & Accounting Teams as well as broader team of other employees to promote smooth workflow, identify and resolve problems, advance the firm’s image and accomplish results which support the mission of JFS Wealth Advisors.

Assists with training new hires to the CRS role on an ongoing basis through training modules and one-on-one training. OHTER DUTIES AS ASSIGNED.

Competency : To perform the job successfully, an individual should demonstrate the following competencies : Problem Solving - Identifies and resolves problems in a timely manner;

Gathers and analyzes information skillfully; Develops alternative solutions; Works well in group problem solving situations.

• Technical Skills - Assesses own strengths and weaknesses; Pursues training and development opportunities; Strives to continuously build knowledge and skills;
• Shares expertise with others. Client Service Dedicated to meeting the expectations and requirements of internal and external customers;
• gets first-hand customer information and uses it for improvements in products and services; acts with customers in mind;
• establishes and maintains effective relationships with customers and gains their trust and respect. Manages difficult or emotional customer situations;
• Responds promptly to customer needs; Solicits customer feedback to improve service; Responds to requests for service and assistance;
• Meets commitments. Teamwork - Balances team and individual responsibilities; Exhibits objectivity and openness to others' views;

Contributes to building a positive team spirit; Able to build morale and group commitments to goals and objectives; Supports everyone's efforts to succeed.

• Priority Setting Spends his / her time and the time of others on what’s important; quickly zeros in on the critical few and puts the trivial many aside;
• can quickly sense what will help or hinder accomplishing a goal; eliminates roadblocks; creates focus. Ethics - Treats people with respect;
• Keeps commitments; Inspires the trust of others; Works with integrity and ethically; Upholds organizational values. Professionalism - Approaches others in a tactful manner;
• Reacts well under pressure; Treats others with respect and consideration regardless of their status or position; Accepts responsibility for own actions;
• Follows through on commitments. Attendance / Punctuality - Is consistently at work and on time; Ensures work responsibilities are covered when absent;
• Arrives at meetings and appointments on time. Dependability Is accountable and takes responsibility for own actions; Commits to doing what it takes, when necessary to reach goals;
• Completes tasks on time or notifies appropriate person with an alternate plan. Qualifications : Bachelor's degree from an accredited college or university;

or a minimum of 4 years related experience and / or training; or equivalent combination of education and experience. Ability to calculate figures and amounts such as discounts, interest, commissions, proportions, and percentages.

Knowledge of Client Relationship Management ("CRM") software systems, excel, work, and Microsoft suite. Valid driver's license.

Must be client service oriented. Must be knowledgeable of financial planning process and be familiar with wealth management services.

Must be able to use Schwab, Fidelity, etc. software. Must be able to use a PC proficiently. Physical Demands : While performing the duties of this job, the employee is frequently required to sit, use hands to fingers, reach with hands and arms and talk or hear and operate keyboard and mouse along with telephone.

The employee is occasionally required to stand, walk, or feel. The employee must occasionally lift and / or move up to 10 pounds.

Specific vision abilities required by this job include ability to adjust focus. Must pass an education, background, credit check, and drug screen.

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