Client Specialist

May schedule client appointments and/or conference room for appointments

Assemble/generate materials including paperwork and reports for client meetings

Understand and ensure business adherence with firm and financial industry regulatory policies

May manage FA and Team’s social media presence (website, LinkedIn, X, etc.)

Maintain Client Relationship Management (CRM) system for Financial Advisor(s), as well as leverage the platform to manage the client relationship through mailings, reporting, e-mail tracking, and more, with the goal of implementing well-defined client service models

May organize and coordinate seminars and client events at the direction of Financial Advisor(s). Develops client lists, designs material and seminar/meeting content, coordinates PowerPoint presentations and follows through with client contact

Seek ways to enhance FA(s) business effectiveness and marketability

Initiates and completes all transactions required to fully service client accounts i.e. paperwork, correspondence, client request fulfillment and special projects as needed

May enter security orders including stocks, bonds, fixed income, options, annuities and other investment vehicle orders per Financial Advisors’ instructions or upon client’s verbal direction

May also provide back-up to other teams and the branch when necessary, as well as perform other duties and special projects as necessary

Proactively review investment opportunities on a daily basis & notify Financial Advisor(s) to take action on those opportunities with the goal of driving the Financial Advisors’ business. Specifically, this may include funds available/money line, maturing securities, reorg items, and previous days’ activities