Hilltop Wealth Advisors is seeking a Client Service Associate/Trader who will serve as a vital link between clients and the firm. This role involves providing administrative support, managing trading activities, and ensuring client success through effective communication and project management.
Responsibilities
- Provide administrative support as needed: answers calls, manages contacts, manages schedules, produce reports, and creates presentation materials
- Maintain and retain office files consistent with firm/professional policies and requirements
- Support marketing and client events as requested including newsletters, blogs, social, website, communications, office events, etc
- Conduct other administrative related tasks and projects as needed
- Execute on the firms day-to-day trading activities under the supervision of the Director of Operations
- Monitor portfolios, rebalance accounts, ensure fair execution and trade review for compliance
- Sends paperwork to clients using the electronic signature system while adhering to the custodians’ compliance rules pertaining to electronic signatures
- Quality check and submit custodial items for processing
- Supports Compliance to maintain an effective and robust investment advisory compliance program
- Conducts certain compliance program tests
- Performs other compliance related tasks and projects as assigned
- Engage and support weekly prep for client meetings, ensuring Advisory and Client Services teams are ready and prepped for upcoming client meetings
- Support client onboarding requirements for financial planning and investment management applications
- Prepare and produce back-office support demands for basic client account requests
- Support back-office initiatives and/or core projects that support Advisory teams
- Gather and prepare necessary information for advisory meetings with clients
Skills
- Bachelor's degree
- 0-4 years of experience in a financial services firm with an emphasis in either client services and/or operations
- Leadership experience demonstrated through reporting structure or special projects
- Excellent communication skills. (verbal, written and listening)
- General tech stack proficiency
- Knowledge of RIA operations, regulations, compliance, and oversight
- Demonstrates personal integrity, honesty and can deal with confidential information daily
- Ability to handle stress in an ever-changing investment market
- Excellent time management and strong organizational skills
- Ability to prioritize multiple tasks and anticipate potential problems
- Pursuit of Financial Paraplanner Qualified Professional (FPQP) Certification
- Experience with investments and financial planning applications
- Experience working with various custodial platforms
Benefits
- Comprehensive medical, dental, vision, and life insurance benefits
- 401(k) with matching contribution
- Generous paid time off
- Volunteer time off
- Flexible work-from-home policy (up to five days per month, with Monday and Thursday designated for in-office collaboration)
- Ongoing educational reimbursement opportunities
Company Overview
Hilltop Wealth Advisors offers retirement income strategies, financial planning, investment, and wealth management services. It was founded in 1989, and is headquartered in Chapel Hill, North Carolina, USA, with a workforce of 11-50 employees. Its website is https://www.hilltopwealthadvisors.com/.