The Senior / Client Services Associate is primarily responsible for supporting the Portfolio Managers (PMs) in their day-to-day activities and serving as the PMs first point of contact for task execution and client correspondence.
Senior Client Services Associates assist with building portfolio proposals for prospective clients, servicing their own exempt market dealer clients, and acting as the main point of contact for small clients, under the supervision of the PMs.
Client Management
- Assist Portfolio Managers (PMs) and Associate Portfolio Managers (APMs) in their day-to-day activities and act as a first point of contact regarding client account updates, status of documents and assigned tasks
- Assist PMs and APMs with the onboarding of new clients
o Assist clients with Know your Client (KYC) forms and ensure completion
o Pre-fill and send other necessary onboarding forms to clients
o Follow up with client for completion of remaining necessary onboarding forms
o Ensure all necessary client information has been collected, such as IDs and articles of incorporation
o Track all onboarding documents to ensure completion and identify any information outstanding
o Construct the complete account opening package and send it to the PMs for approval
- Prepare onboarding documents
- Opportunity to manage exempt market dealer (EMD) clients independently, proactively update files and follow up
o Liaise with EMD clients about new investment ideas, ongoing updates about current state of investments, follow through on inquiries and requests, maintain KYC forms and other account documents
- Correspond with current clients, respond to general inquiries including reports and tax slips and refer complex inquiries to the PMs and APMs
- Attend client meetings with the PMs, take detailed notes and save them in client files
Portfolio Management
- Examine client accounts and compare the weight of each investment in client portfolios
- Assist PMs and APMs with cash management, including monitoring cash buildup, executing transfers and orders, and following client plans regarding cash management
- Review client portfolios with the PMs to determine potential changes and solutions
- Prepare client correspondence for PMs and APMs, including attachments and suggestions that have been approved by the PMs
- Prepare trade instructions and follow up on completion
o Prepare subscription agreements and ensure signatures by clients or the PMs
o Ensure funding of the order by communicating with Portfolio Administrators
- Review assigned private wealth (PW) and EMD client reports for quality and send final PW or EMD reports to clients on behalf of the PMs
- Perform monthly and quarterly portfolio reviews and make recommendations reflecting clients’ primary goals to the PMs as needed
- Review charges and compensation report before delivering to clients
Business Development
- Assist PMs and APMs with managing prospect lists, track contacts and follow up on leads
- Communicate with the PMs regarding status of current prospects and next steps
- Communicate with clients via phone and e-mail, act as first point of contact for EMD clients
- Generate and oversee portfolio proposals for prospects and other ad-hoc presentations as needed
U/HNW Client Services Associate
Senior Client Services Associates assist with building portfolio proposals for prospective clients, servicing their own exempt market dealer clients, and acting as the main point of contact for small clients, under the supervision of the PMs. The Senior/Client Services Associate is primarily respons...
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