Client Service Associate (Private Wealth Management)

About Duncan Financial Group

Below covers everything you need to know about what this opportunity entails, as well as what is expected from applicants.
Headquartered in Irwin, Pennsylvania – we help clients build and protect a better financial future. Our vision is to become the premier independent insurance and financial services organization that sets the standard for adding value to the lives of our clients, our employees, and our community stakeholders. At Duncan, we know that our greatest asset is our employees.We offer a new standard of insurance and financial guidance that is unmatched in the industry. Family-run for over 45 years, our diversified professionals get to know the needs of every client to deliver award-winning service for all their insurance, wealth management, and accounting needs. Built on a solid foundation, our relationships last for generations.Duncan Financial Group is quickly expanding both organically and through acquisition. With consistent and constant growth, we are continually seeking new talent to join us and continue to develop with us.
Client Service Associate (Private Wealth Management)
Position Summary:
The PWM Client Service Associate position will perform client servicing duties. The primary responsibilities of this position include the coordination of activities on behalf of the Advisor(s) and direct client servicing activities to meet goals and objectives relative to corporate standards and initiatives.
The PWM Client Service Associate position works under the supervision of the Director of Operations with exercise of independent judgement. This position regularly interacts with other Private Wealth Management (PWM) & Retirement Plan Services (RPS) support employees, producing Advisors, all company departments, clients, and vendors. All interactions will provide exemplary and seamless customer service to Duncan Financial Group clients, both external and internal. The candidate will align with the practice management and business model of the independent advisor while following established company processes.
Key Responsibilities:
Client / Advisor Support Answers client calls / emails and completes client service requests accurately and within set timeline standardsDistribution / Contribution requestsRMDsCheck processingAccount maintenance forms / paperworkAppointment confirmations (phone/email/text)Death claimsTrade Review / Cases / Paperwork StatusReporting of pending and new businessMonitors fee billingManages Advisors’ calendars, scheduling of client/prospect meetingsCoordinates travel on behalf of the AdvisorCompletes expense reports on behalf of the AdvisorPrepares reports, marketing materials, agendas, and paperwork for client meetingsSubmits correspondence on behalf of the Advisor(s)Maintains compliance logs on behalf of the Advisor(s)Completes clerical duties such as sorting daily mail, photocopying, and scanningDocuments client interactions in CRMInputs account transactions (incoming & outgoing) at least quarterlyMonitors DST Vision / NetX / Wealthscape for transactionsMaintains paperless/electronic files for all clientsProvides upcoming client review reports to Advisor(s)Monitors advisor’s spam email folderCoordinates / plans executive and client eventsIf licensed, notarizes client documents as requested
New Client/Account ImplementationCreates client contact records in CRM and at broker dealerPrepares new client/account paperwork for broker dealer and vendorsFollows up with client/advisor to complete missing information as neededMonitors trade review, works with OSJ team to move submissions to completionFollows up with vendors and verifies establishment and funding of accountsDelivers all necessary disclosures on behalf of the advisor
Sales SupportSupports Advisor(s) in sales cycle within HubSpotCreates client contact record in Redtail once “On-Boarding Process Started” step of sales cycle is reached using “New CL – Onboarding Workflow” and appropriate “NAcct” workflowPrepares materials for meetings (Wealthport, Morningstar or Y Charts proposals as requested by Advisor)Maintains paperless/electronic files for all prospects
Team SupportEstablishes and maintains regular meeting cadence with Advisor(s)Attends and participates in team and department meetingsAttends or views recording of DAR Rep Call & DAR Admin CallMaintains data integrity with regular audits of CRMCollaborates with Advisor(s) and management to identify inefficiencies and continuously improve best practices within the departmentMaintains core processes, data integrity, workflows, and templates as assigned by director of operationsAssists the Direct of Operations with projects and special duties as assignedOrders office supplies (varies by location)
Qualifications:
High School Diploma or equivalent required3+ years’ experience working in a client servicing role in an investment advisory firm preferredFINRA Securities Registration (Series 7, 63, 65, 66) or willing to obtain within first year of employment preferredLife, Accident & Health License preferredExperience with Retirement Plans a plusWorking knowledge and practical experience with Microsoft Office Suite (Word, Excel, PowerPoint, and Outlook) requiredExperience with Customer Relationship Management (CRM) software, i.e., Redtail, and/or Agency Management System software preferredAnalytical ability is required to interpret data and situations that are complexAbility to demonstrate effective interpersonal skills as well as sound judgement, professionalism, confidentiality and good decision-making skillsMust be able to effectively organize and prioritize a high volume of activitiesMust be able to communicate effectively and professionally both verbally and in writingEmployment is contingent upon the successful completion of all pre-employment requirements, which may include a criminal background check and credit history review, as permitted by law
Hours: Monday - Friday, 8:00am-5:00pm
Office Location: 311 Main Street, Irwin, PA 15642 (Hybrid work options after training period)
Benefits:
Competitive CompensationHealth Insurance Plans (PPO, HSA, Copay Options)Dental InsuranceVision InsuranceCompany Paid Disability InsuranceSupplemental Insurance including Critical Illness, Accident, Legal, Pet Insurance401(k) with Safe Harbor MatchPaid Time OffPaid Holidays
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