The PWM Client Service Associate position will perform client servicing duties.
The primary responsibilities of this position include the coordination of activities on behalf of the Advisor(s) and direct client servicing activities to meet goals and objectives relative to corporate standards and initiatives.
The PWM Client Service Associate position works under the supervision of the Director of Operations with exercise of independent judgement.
This position regularly interacts with other Private Wealth Management (PWM) & Retirement Plan Services (RPS) support employees, producing Advisors, all company departments, clients, and vendors.
All interactions will provide exemplary and seamless customer service to Duncan Financial Group clients, both external and internal.
The candidate will align with the practice management and business model of the independent advisor while following established company processes.
Headquartered in Irwin, Pennsylvania – we help clients build and protect a better financial future. Our vision is to become the premier independent insurance and financial services organization that sets the standard for adding value to the lives of our clients, our employees, and our community stakeholders. At Duncan, we know that our greatest asset is our employees. We offer a new standard of insurance and financial guidance that is unmatched in the industry. Family-run for over 45 years, our diversified professionals get to know the needs of every client to deliver award-winning service for all their insurance, wealth management, and accounting needs. Built on a solid foundation, our relationships last for generations. Duncan Financial Group is quickly expanding both organically and through acquisition. With consistent and constant growth, we are continually seeking new talent to join us and continue to develop with us.
Client Service Associate (Private Wealth Management)
Position Summary:
The PWM Client Service Associate position will perform client servicing duties. The primary responsibilities of this position include the coordination of activities on behalf of the Advisor(s) and direct client servicing activities to meet goals and objectives relative to corporate standards and initiatives.
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The PWM Client Service Associate position works under the supervision of the Director of Operations with exercise of independent judgement. This position regularly interacts with other Private Wealth Management (PWM) & Retirement Plan Services (RPS) support employees, producing Advisors, all company departments, clients, and vendors. All interactions will provide exemplary and seamless customer service to Duncan Financial Group clients, both external and internal. The candidate will align with the practice management and business model of the independent advisor while following established company processes.
Key Responsibilities:
Client / Advisor Support
Answers client calls / emails and completes client service requests accurately and within set timeline standards Distribution / Contribution requests RMDs Check processing Account maintenance forms / paperwork Appointment confirmations (phone/email/text) Death claims Trade Review / Cases / Paperwork Status Reporting of pending and new business Monitors fee billing
Distribution / Contribution requests
RMDs
Check processing
Account maintenance forms / paperwork
Appointment confirmations (phone/email/text)
Death claims
Trade Review / Cases / Paperwork Status
Reporting of pending and new business
Monitors fee billing
Manages Advisors’ calendars, scheduling of client/prospect meetings
Coordinates travel on behalf of the Advisor
Completes expense reports on behalf of the Advisor
Prepares reports, marketing materials, agendas, and paperwork for client meetings
Submits correspondence on behalf of the Advisor(s)
Maintains compliance logs on behalf of the Advisor(s)
Completes clerical duties such as sorting daily mail, photocopying, and scanning
Documents client interactions in CRM
Inputs account transactions (incoming & outgoing) at least quarterly
Monitors DST Vision / NetX / Wealthscape for transactions
Maintains paperless/electronic files for all clients
Provides upcoming client review reports to Advisor(s)
Monitors advisor’s spam email folder
Coordinates / plans executive and client events
If licensed, notarizes client documents as requested
New Client/Account Implementation
Creates client contact records in CRM and at broker dealer
Prepares new client/account paperwork for broker dealer and vendors
Follows up with client/advisor to complete missing information as needed
Monitors trade review, works with OSJ team to move submissions to completion
Follows up with vendors and verifies establishment and funding of accounts
Delivers all necessary disclosures on behalf of the advisor
Sales Support
Supports Advisor(s) in sales cycle within HubSpot
Creates client contact record in Redtail once “On-Boarding Process Started” step of sales cycle is reached using “New CL – Onboarding Workflow” and appropriate “NAcct” workflow
Prepares materials for meetings (Wealthport, Morningstar or Y Charts proposals as requested by Advisor)
Maintains paperless/electronic files for all prospects
Team Support
Establishes and maintains regular meeting cadence with Advisor(s)
Attends and participates in team and department meetings
Attends or views recording of DAR Rep Call & DAR Admin Call
Maintains data integrity with regular audits of CRM
Collaborates with Advisor(s) and management to identify inefficiencies and continuously improve best practices within the department
Maintains core processes, data integrity, workflows, and templates as assigned by director of operations
Assists the Direct of Operations with projects and special duties as assigned
Orders office supplies (varies by location)
Qualifications:
High School Diploma or equivalent required
3+ years’ experience working in a client servicing role in an investment advisory firm preferred
FINRA Securities Registration (Series 7, 63, 65, 66) or willing to obtain within first year of employment preferred
Life, Accident & Health License preferred
Experience with Retirement Plans a plus
Working knowledge and practical experience with Microsoft Office Suite (Word, Excel, PowerPoint, and Outlook) required
Experience with Customer Relationship Management (CRM) software, i.e., Redtail, and/or Agency Management System software preferred
Analytical ability is required to interpret data and situations that are complex
Ability to demonstrate effective interpersonal skills as well as sound judgement, professionalism, confidentiality and good decision-making skills
Must be able to effectively organize and prioritize a high volume of activities
Must be able to communicate effectively and professionally both verbally and in writing
Employment is contingent upon the successful completion of all pre-employment requirements, which may include a criminal background check and credit history review, as permitted by law
Hours: Monday - Friday, 8:00am-5:00pm
Office Location: 311 Main Street, Irwin, PA 15642 (Hybrid work options after training period)
Benefits:
Competitive Compensation
Health Insurance Plans (PPO, HSA, Copay Options)
Dental Insurance
Vision Insurance
Company Paid Disability Insurance
Supplemental Insurance including Critical Illness, Accident, Legal, Pet Insurance
401(k) with Safe Harbor Match
Paid Time Off
Paid Holidays
No Solicitation Notification to Agencies: Please note that Keystone and our Partner Agencies do not accept unsolicited resumes or calls from third-party recruiters or employment agencies. In the absence of a signed Master Service Agreement and approval from HR to submit resumes for a specific requisition, Keystone will not consider or approve payment to any third parties for hires made.
About Duncan Financial Group
Parent group profile
Keystone Insurers Group
Insurance144 employeesFounded 1983
Private U.S. insurance-agency network providing independent agencies with carrier access, expertise, and operational resources.
