Client Service Associate/Trader

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