Senior Client Service Associate - Wealth Management

Our firm is a $450M+ Registered Investment Advisor in beautiful downtown San Diego, specializing in ultra-high net-worth individuals and families. We function as a multi-family office and are looking the one person that can run our client service and operations. Being a small team, this role is critical to our success!

You will be responsible for portfolio accounting, billing, using our portfolio management software; client input and maintenance within our financial planning software; maintaining and working with our Customer Relationship Management application for client record keeping; cash disbursements, wire transfers and client operational account activities. You will be responsible for providing excellent client service while delivering administration of client financial accounts and associated money movement. This is the sole Operations person within our firm so the role is diverse and will include client-specific, account-specific, and general business functions.

You will also support the Chief Compliance Officer in the operations and maintenance of the firm's regulatory compliance program. Your main responsibilities include maintaining compliance records; preparation of monthly and quarterly reports; compilation of data for purposes of compliance reporting, coordination of compliance meetings and training and assisting in preparation of regulatory reports and filings.

Our clients are genuinely wonderful people, and they are easy to support. The right person for this role will be thoughtful and love to help others. We are a lower volume, high quality firm so you need to be the person that doesn’t drop balls or let things slip through the cracks. Additionally, we each have a deep relationship with our client set. We understand that takes time, but you definitely need a true desire to build those relationships.

Specific functions include:Monitoring account cash balances and systematically managing around additions or distributions from client accountsConstruction, maintenance, and production of household performance reportingMaintenance and construction of financial planning software for financial plan analysis and presentationMaintenance and use client portal, CRM (Advyzon) and integrated applicationsQuarterly client billing within our portfolio accounting software, AdvyzonInterfacing with our custodian, Charles Schwab, regarding ongoing transactions and account maintenanceDelivery of superior client service in interaction in regard to operational needsCompliance maintenance and dutiesReceiving clients and guests at our downtown San Diego officesPreparing for client and vendor meetingsReceiving client phone callsManaging office maintenance and supplies procurementSupporting Advisor and Directory of Research in various operations functions

The ideal candidate:Excellent client service and interpersonal skillsHigh attention to detailExtremely reliable and self-motivated individualMinimum five years of experience working within the securities industry preferably within an RIA or Broker Dealer serving retail clienteleBachelor’s Degree in finance, business or accounting, or equivalent experienceExperience in a Compliance role within a brokerage firm or Registered Investment Adviser preferredExperience working with portfolio accounting softwarePrior familiarity with financial planning software a plus, but not a requirementPrior experience with Contact Relationship Management software