Assist financial advisor(s) and associate financial advisor(s) in managing and organizing office work flow with an emphasis on creating and delivering a unique client experience that defines and differentiates the practice. This position will consistently follow high standards of business and professional ethics and legal and regulatory requirements when dealing with others and/or performing work activities.
This role provides client relationship support through interacting directly with clients to ensure accurate account set up and through acting as a liaison to answer client questions. The role will also perform other practice management tasks relating to client service as needed. Responds to ad hoc requests, coordinates/tracks projects and/or manages.
Responsibilities and Time Allocation – Will change over time to meet the needs of the practice and can include other duties as assigned by the advisor.
Position Functions:
Business Management
Prepare Brokerage New Business and Client Account Maintenance applications, supplemental documents, correspondence, etc., for client and advisor signature(s)
Prepare Annuity and Insurance new business, policy maintenance and updates for client and advisor signatures(s) – ensure completion and accuracy of processing
Process related new business money movement (on time, arrangements, ongoing, etc.) internally and with externally for client and advisor signature(s) – ensure completion and accuracy of processing
Prepare appointment and hold and service paperwork with outside carriers for client and advisor signature(s) – ensure completion and accuracy of processing
Work with home office to ensure accurate new business setup, estate settlement processing, client account maintenance, resolve issues, etc.
Prepare and track processing of correspondence for client and advisor signatures
Answer questions and provide readily available information to clients, if requested and as allowable, as it relates to servicing their accounts
Maintain files and CRM records in accordance with the records retention policy
Perform other allowable duties as assigned by the financial advisor(s) and associate financial advisor(s)
Client Care
Create Prospects in CRM and follows compliance communication requirements
Back-up for client scheduling (Call clients or prospects to set up meetings or appointments)
Greet clients upon arrival and extend hospitality to clients
Conduct transaction requests as directed by financial advisor(s) and associate financial advisor(s)
Answer phones to schedule appointments, refer to advisor(s), take messages, etc.
Document client contacts/calls
Key Traits of a Successful Client Service Associate/Manager:
Direct attention to detail and organization
Effective communication with clients and other advisors/staff
Effective and efficient time management
Polite and clear phone manner
Ability to multi-task
Ability to adhere to rules and regulations as stated and required by advisor, Ameriprise Financial
Ability to support and provide guidance for compliance within the advisor’s practice
Positive attitude and sincere willingness to constantly learn and grow
Education and Other Designations:
College degree or higher
2+ years of similar experience
Already have or be able to study for and pass exams for federal and state licenses and registrations for securities, including Series 7, Series 66, and State life, accident and health insurance licenses
At Ameriprise Financial, we’re not just in the business of helping clients with their financial goals – we also help our advisors and employees reach their true potential by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you’re motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial.
This position is with an Ameriprise Financial Franchise owner.
Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.
Full-Time/Part-Time
Full time