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Rockefeller Capital Management · 3 weeks ago

Senior Client Operations Associate

Saratoga Springs, NY

Full-time

Onsite

Mid, Senior Level

$60K/yr - $70K/yr

3+ years exp

Rockefeller Capital Management is a leading independent financial advisory services firm established in 2018. They are seeking a motivated individual to join their Private Advisor team as a Senior Client Operations Associate, where the role involves providing exceptional service to high-net-worth clients and assisting with various operational tasks related to client accounts.

Financial Services

Growth Opportunities

H1B Sponsor Likely

Responsibilities

Collaborate closely with the Advisor Team to provide exceptional service to clients, ensuring comprehensive support and efficient administration of client accounts

Gather and manage various forms of client data (i.e., tax information, investment information, etc.) to support the client team in the effective planning of client service strategy

Input data and prepare financial reports using Addepar

Assist with financial planning and projections

Prepare, proof and print client presentations and other important materials for client-related meetings

Assist with annual tax reporting and gathering documents during tax season

Format deliverables that are sent to clients, ensuring they meet the highest standards of quality and professionalism

Maintain and archive documents in an organized digital filing system

Execute special projects as assigned

Assist with administrative tasks as needed processing wires, journals, other asset movement

Liaise with other teams such as Operations, Technology, as well as external investment sponsors, to review daily processing of data in the relevant relationship accounts thus ensuring that reporting deliverables are accurate, complete, and timely

Keep Private Advisor and Senior Associates apprised of the status of client related tasks

Respond to account activity and other internal or external inquiries

Maintain a sense of ‘ownership and accountability’ for the CA services; communicate clearly, maintain careful records, have attention to detail and follow compliance policies and procedures

Attend compliance and continuing education training sessions as required by regulatory agencies and the firm

Use available technology to appropriately improve processes

Handle operational aspects of client accounts including reporting on account holdings and investment performance, and posting daily cash activity

Prepare client correspondence and obtain necessary management approvals

Review daily activity and reconcile current client activity, funds transfers and previous day’s activity and trades against various clearing firm systems to ensure accuracy

Maintain client insurance schedules

Assist with facilitation of foundations and interacting with charitable organizations

Complete necessary filings and accurately maintain client files

Qualification

Client service experienceRegistered Series 7 & 66Financial planning softwareMicrosoft Office proficiencyInterpersonal skillsOrganizational skillsCommunication skillsDetail-orientedTime managementProblem-solving skills

Required

At least 3 years of client service experience within financial industry

BA/BS degree

Strong interpersonal, organizational, and client service skills

Detail-oriented with ability to prioritize and organize workflow with a strong sense of urgency and prioritize competing deadlines

Strong verbal and written communication skills

Ability to work in a fast-paced, high intensity work environment as well as manage multiple tasks effectively with frequent interruptions

High proficiency in Microsoft Office – Outlook, Word, Excel and PowerPoint

Preferred

Family Office experience

Registered Series 7 & 66 preferred (or 7, 65 & 63)

Experience with eMoney financial planning software a plus

Benefits

Health coverage

Vacation time

Paid leave

Retirement plan

And more

Company

Rockefeller Capital Management

Glassdoor4.2

At Rockefeller Capital Management, we aspire to bring the unique promise of the Rockefeller legacy together with a culture of innovation and cutting-edge technology to help discerning clients—individuals, families, businesses, and institutions—achieve their goals through the delivery of premier financial advisory and investment management.

Founded in 2018

New York, New York, US

1001-5000 employees

https://www.rockco.com/

H1B Sponsorship

Rockefeller Capital Management has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Represents job field similar to this job

Trends of Total Sponsorships

2025 (7)

2024 (6)

2023 (2)

2022 (2)

2021 (3)