Transition Client Service Associate

Company Overview:

Summit Financial LLC is a $30 billion Registered Investment Advisory (RIA) firm that has been providing comprehensive financial planning and wealth management services to high-net-worth individuals for over 40 years. Consistently recognized for our expertise, Summit currently ranks in the top 40 of all RIA firms by Barron’s & Forbes and is one of the fastest growing RIAs in the country with over 200 advisors across 30 states and headquarters in Parsippany, New Jersey.

Summary:

Summit is looking to add a Transition Client Service Associate to support new advisors transitioning into the company. This person must be creative and enjoy working within a small, entrepreneurial environment that is sales and results oriented. The ideal individual will have the ability to exercise good judgment in a variety of situations, with strong written and verbal communication, administrative and organizational skills. The Client Service Associate must have previous experience working with a Registered Investment Advisory firm. Must be willing to travel as needed.

Role and Responsibilities:

• Client Service is a priority, previous experience working within an RIA/BD a must.


• Partner with financial advisors and their staff to gather and organize client data from multiple sources to support account opening.


• Reconcile and validate client account data to ensure accuracy and integrity during the transition process.


• Act as the point of contact between the Financial Advisor and clients.


• Process insurance & investment applications and paperwork.


• Prepare agendas and supporting material for client meetings.


• Develop a thorough understanding of the end-to-end account opening lifecycle to ensure all requirements are met and accounts are processed in good order.


• Provide support and guidance to advisors and their teams regarding account-related inquiries and issues.


• Assist with client transaction requests.


• Schedule and coordinate appointments and manage calendars.


• Sort incoming mail if applicable for advisors and team.


• Collaborate closely with the Transition Team to provide ongoing operational support and maintain workflow efficiency.


• Troubleshoot and resolve transition-related issues in collaboration with custodians and internal teams.


• Participate in special projects, process improvement initiatives, and cross-departmental training and project opportunities.


• Ability to multitask and prioritize daily workload.


• Perform additional duties and responsibilities as assigned.

Qualifications and Education Requirements:

• Proficiency in Microsoft Office products including Outlook


• Requires a minimum of 5 years’ experience in Financial Services


• Bachelor’s degree preferred, but not required


• Strong written and verbal communication skills and excellent customer service skills


• Critical thinking and problem-solving abilities – Ability to think unconventionally in proposing potential solutions to issues.


• Strong organizational and time management skills needed to prioritize workload, handle multiple tasks and meet deadlines.


• Strong Microsoft Office skills, including Outlook.


• Ability to travel up to 20% of the time.

Preferred Skills:

• Salesforce and eMoney knowledge a plus.


• Previous experience working with a multi-custodial RIA a plus.


• Experience with Fidelity Investments, Goldman Sachs, Charles Schwab, Pershing and Docusign preferred.