The FPA of the Triangle provides this service as a benefit of membership. The FPA of the Triangle in no way endorses the companies listed. The FPA of the Triangle does it’s best to confirm postings.
Senior Financial Client Services Manager (5+ yrs exp required)
- Cary, NC 27513
Du Lac Wealth Services (DLWS), a locally-owned, independent financial advisory firm, is seeking a motivated, detail-oriented professional committed to relationship building through a high level of client service and continuous improvement of digital processes to enhance the client experience.
The Director of Client Services (DCS) will report directly to the Managing Director and will work in conjunction with the Advisors to create a positive client experience. Responsibilities will primarily focus on client service, the digital client experience and internal compliance reporting. The DCS will also be the lead point of contact with LPL Financial (our broker/dealer) and with Independent Advisor Alliance (our Registered Investment Advisor) located in Charlotte.
General Administrative Duties (including but not limited to):
- Serve as the initial contact for clients and strategic partners by promptly answering calls and emails, and by greeting clients when they come into the office.
- Process client requests, and use Redtail CRM to document transactions from initiation to completion, while also keeping the client apprised of the ongoing status. This includes deposits, distributions (both periodic and on-demand), changes to client information (address, phone number, etc.), IRA rollovers, resetting of passwords, and providing copies of statements and tax forms.
- Monitor recurring transactions to ensure they are in good order and process appropriately.
- Prepare and process paperwork utilizing Docu-Sign when possible. This includes new account creation, account transfers, retirement account distributions, one-time and periodic distributions, and the addition of legal paperwork to an account (POA, trading authorization, etc.)
- Assist clients through difficult life events such as death and divorce, and facilitate all necessary paperwork and documents.
- Maintain detailed information for each client within Redtail CRM and internal client profile system.
- Remember client birthdays with cards and/or token gifts. Process Christmas cards.
- Schedule mandatory annual client reviews, prepare meeting reports, record meeting notes in Redtail CRM, and process any meeting related actions items.
- Oversee and update branch calendar including Out-of-Office communications to LPL.
- Maintain/monitor registrations and C/E requirements for all licensed office personnel.
- Maintain insurance licensing and state appointments. Process license renewals as required.
- Establish and maintain all compliance files required by LPL Financial and IAA.
- Participate in monthly Compliance webinars to stay apprised of changing industry regulations.
- Protect sensitive client data by securing the physical office files.
- Professional and courteous approach to clients and vendors with an appreciation for the confidential information and sensitive situations we frequently address.
- Order, inventory, and store all necessary office supplies. Maintain office equipment (printers, postage meter, computers), arrange any necessary repairs, and interface with providers regarding billing, leasing and service issues.
- Collaborate with Advisors on the DLWS website and marketing initiatives including establishment of a marketing calendar and client segmentation strategies for targeted content delivery.
- 5+ years of experience in financial services or related industry preferred.
- Maintain confidentiality of sensitive information.
- Proven ability to proactively solve problems with a positive attitude.
- Build relationships with clients in person and over the phone.
- Strong writing skills for use in one-on-one client communications and mass marketing materials.
- Strong organization skills and attention to detail.
- Experience with common office hardware and software tools including MS Word, Excel and Powerpoint.
- Ability to quickly master industry specific systems including Redtail CRM, LPL Clientworks, Account View, DST Vision, Morningstar, Orion, Ameritrade and Fidelity.
Trust Company of the South
Wealth Analyst Job Description
A Trust Company of the South Wealth Analyst will be based in Greensboro and will provide support to Trust Company’s Wealth Advisors in our Greensboro office.
A successful candidate is someone who is detail oriented and has a passion for helping people realize successful financial outcomes. This candidate will have an interest in holistic financial planning and desire to gain the experience necessary to grow in his or her career. This position will provide a candidate the opportunity to provide direct value to our clients and team. This candidate will have the ability to prioritize multiple tasks on a daily basis and work effectively in a team environment.
Please visit www.tcts.com for more information about our firm.
Primary Wealth Analyst Responsibilities
Wealth Advisor Support:
- Contribute to successful management of current client relationships.
- Holistic financial planning including all facets of financial management, risk management, estate planning, investment allocation, charitable planning, tax planning, employee benefits analysis, and other unique items.
- Prepare for high net worth family and non-profit client meetings by compiling client data into periodic review template presentation, including additional relevant investment and/or financial planning reports, and create any required custom analysis.
- Assist with completion of and track follow up items after client meetings.
- Create and amend financial plans in financial planning software.
- Perform or oversee administrative tasks related to client accounts and client trust accounts.
- Prepare for prospect meetings by analyzing prospect’s current financial situation and working with Wealth Advisor to provide custom recommendations.
- Assist and oversee account transfer process for new accounts.
- Support and serve as back up in certain tasks for our operations and client service areas, as needed.
- Manage firm-wide projects to improve wealth advisor service or efficiencies, as required.
- Pursue learning and expertise to add to the team’s collective knowledge and ability to provide excellent service to clients.
Trust Company of the South’s Five Core Values
- Exudes honesty and integrity.
- Treats others with respect.
- Committed to excellence.
- Helps first.
- Gets it done, efficiently.
- Bachelor’s Degree (required).
- Minimum of 3-5 years of demonstrated industry experience required. Experience in trust administration preferred.
- CPA or CFP® designation preferred, or currently working towards. Other industry designations will be considered.
- Proficiency with Microsoft Office suite.
- Trustworthy professional who is both respectful and respected.
- Genuine interest in serving and caring for other people.
- Superior communicator and team player.
- Great listener.
- Strong analytical and technical skills.
- Highly organized.
- Extreme attention to detail and ability to prioritize multiple tasks.
- Motivated hard worker who displays self-confidence and a desire to learn.
All qualified candidates, please send your resume along with a brief summary of your qualifications for this position to firstname.lastname@example.org.