Client Service Associate
Client Service Associate
About: Mutual Group is a fast-growing, entrepreneurial financial services company serving registered investment advisors (RIAs) and advisors throughout the United States, with offices in Camarillo, CA, Casper, WY, Omaha, NE, Ft. Worth, TX and Little Rock, AR. With over 40 years of experience, we have deep expertise in brokerage, compliance, technology, and operations, and we believe in the power of partnership. Our mission is to transform the lives of our advisor community and power them towards success, enabling them to work smarter and focus on what they love and do best. We are rooted in our company values – personal, authentic, collaborative, and knowledgeable – and these are aligned with our vision of being an aspirational B2B leader in our industry and powering a cultural shift towards truly authentic partnerships.
Description: The Client Service Associate will report to the Director of Operations and be responsible for day-to-day engagement with advisors relating to the service, operations, and technology aspects of the Mutual Advisors platform. This position works as a team member managing the operational duties within the Service & Operations department and ensures the timely execution of daily, weekly, monthly & quarterly tasks. Additionally, this position ensures that new and existing clients are provided with a high level of service by guiding paperwork, billing support, technology issues, trade support, and custodial relationships and managing paperwork workflows. Mutual Advisors seeks individuals who can communicate and work with internal (Service & Operations, Technology, and Compliance) and external (Advisors & Vendors) stakeholders. Additionally, the ideal candidate will be comfortable working in a rapid, entrepreneurial environment with the ability to work independently and collaboratively to accomplish tasks and projects.
Responsibilities & Activities:
Review and process paperwork within clearly defined service levels.
Perform database management functions, including account setup and maintenance, reporting, queries, and data audits.
Support onboarding of new clients to Mutual and be a resource that can resolve issues and provide guidance.
Work within a case management system to process client paperwork, address inquiries, and manage projects, adhering to clearly defined service levels.
Contribute to continuous refining of process documentation, both internally and externally.
Answer phone calls from advisors and/or their staff, and, as needed, conduct virtual meetings to answer questions or solve complex problems.
Become a subject matter expert on the use of DocuSign.
Be familiar with the primary suite of advisor technologies to field advisor inquiries.
Process advisor billing on a monthly or quarterly basis.
Knowledge, Skills & Abilities Focus:
Communicates fluently and conversationally on technical, financial-related topics
Highly proficient in MS Office with a concentration in Excel
Excellent communication skills, both written and oral
Demonstrated problem-solving and decision-making skills
Strong analytical and organizational skills
Strong communication skills, both written and oral
Education, Experience, License/Certification Requirements:
Bachelor's degree in finance, business management, or related area, or equivalent experience
5+ years of financial services industry experience preferred but not required
Preference is given to candidates with experience in Orion, and that hold a Series 7
Experience working in an operational setting and understanding how operations, compliance, and technology come together in the advisory industry
Strong working knowledge of investment products and operational processes
$45,000 - $65,000 per year
We believe valuable experience can be gained from working on-site, but we will also consider hybrid and remote arrangements.
Benefits & Bonuses:
This position is eligible for medical, dental, and vision insurance benefits, 401(k) Plan/Roth, and monetary bonuses.
We offer a flexible work environment, fully remote, in-office, or hybrid opportunities. Play a vital role in a fast-growing company with a dynamic culture as you embark on a career path in the advisory industry.
For immediate consideration of this vacancy, please visit our careers center and submit your resume and cover letter at https://jobs.polymer.co/mutual-group.
Given the large number of inquiries we receive, only candidates who have met the required experience & qualifications for this position will be contacted. No phone calls, please. However, since we are actively recruiting, we may wish to retain your cover letter and resume in our database for other/future opportunities unless you direct us otherwise. Thank you very much for your interest.
Mutual is a B2B company that provides consulting services, operations, technology, brokerage, and compliance solutions for registered investment advisory (RIA) firms and individual advisors. Mutual Group currently serves more than 800 financial professionals with assets under management exceeding $8.5 billion and has been continuously striving to grow in knowledge, expertise, and client care since being founded in 1982.
Investment advisory services offered through Mutual Advisors, LLC, a SEC registered investment adviser. Securities offered through Mutual Securities, Inc., member FINRA/SIPC.
Mutual Advisors, LLC and Mutual Securities, Inc. (collectively "Mutual Group") are affiliated companies.