Wall Street Alliance Group · 1 day ago
Senior Registered Client Service Associate
New York, NY
Full-time
Hybrid
Mid, Senior Level
$100K/yr - $150K/yr
5+ years expWall Street Alliance Group is seeking a Senior Registered Client Service Associate to deliver high-quality client service and administrative support. The role involves processing new account paperwork, maintaining accurate client records, and ensuring compliance with industry regulations while providing proactive support to financial advisors and clients.
Asset ManagementConsultingInsuranceLife InsuranceWealth Management
Responsibilities
Helps in streamlining operational tasks and perform due diligence to reduce potential errors
Ensures required client paperwork is current with firm and industry requirements, rules, and regulations
Helps in opening new accounts paperwork and follow up on client documentation for proper maintenance of accounts
Helps managers in monitoring for any potential and ongoing issues, taking actions to clear back logs and escalating when required
Ensures CRM system is up to date with accurate information
Creates and maintains records and files
Interacts daily on the phone with existing clients including handling basic inquiries
Onboard and maintain client accounts, including collecting client information and required documentation, and processing money movement transactions
Provides technical assistance to clients with online account access
Coordinates directly with industry professionals including CPAs, Actuaries, Lawyers, etc. to provide customized client solutions
Works closely with operation manger and pension consultant in compliance requirement for ERISA plans such as 401k and Cash Balance Plan
Facilitate with Estate Planning Attorney and client meetings regarding establishing wills and trusts
Book travel arrangements when necessary
Receives cross-training and assists with other operational functions as required
Performs other duties and responsibilities as assigned
Qualification
Required
Strong attention to detail, communication, problem-solving, and analytical skills
Ability to multi-task under pressure, work independently, and work in a team environment
Flexibility to travel if needed and work during the evening if necessary
Excellent knowledge of Microsoft Office products
Provide a high level of customer service
Analyzing to be able to research account information
Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment
Handle stressful situations and provide a high level of customer service in a calm and professional manner
Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels
Bachelor's degree
Minimum of Five (5) years financial services industry experience
Preferred
Retirement Plan Administration experience and knowledge of ERISA would be a plus
Preferred or willingness to pursue: FINRA Series 7 or 66 (63 and 65) license
Benefits
Group health, vision dental plans
401k retirement with employer contribution
Paid vacation, sick, and holiday hours
Opportunities for professional growth and development; including continuing education.
A supportive and inclusive work environment where your contributions are valued.
Company
Wall Street Alliance Group
Wall Street Alliance Group is a consulting firm that provides portfolio management, tax and estate planning, and charitable trust services.
11-50 employees
Funding
Current Stage
Early StageLeadership Team
Syed Nishat, BFA™
Partner
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