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.