Job Description

JSC is working with a client who offers financial service solutions to independent advisors based on their preferred level of ownership and responsibility.

The Advisor Support Specialist’s role, within the Operations and Advisor Services Department, is one of our more impactful positions, creating substantial impressions to our affiliated Financial Professionals on a regular basis. The Specialist’s roles and responsibilities revolve around delivering white-glove client service, and effective task and process management within a fast-paced environment. You will be expected to show proficiency and effective time management skills over a number of tasks, including: the efficient execution of our FP’s client and account management requests across multiple institutional custodial platforms being able to provide empathetic service to, and create relationships with, our FP’s the ability to interact on occasion, effectively and professionally with end-investor clients being able to provide, on demand, basic technological support to our affiliated FPs and other Home Office employees, especially during times of their initial affiliation with us.

Your performance within the Operations & Client Services department will contribute meaningfully to the overall success of the firm, client retention, and operational efficiency.

Essential Responsibilities:

PLATFORM SUPPORT

Custodian Platform Support:

Onboarding/offboarding of all access persons (our clients, its W-2 employees and its Home Office staff), ensuring that the company’s policies and procedures are followed. This involves ensuring the new person has been granted and successfully logged into the authorized user accesses to our technology applications and applicable custodian platforms.
Be prepared to fulfill the “Company Administrator” role for various our technology vendors.
Resolve standard transactional technical issues/inquiries for users.
Assess and/or communicate any knowledge of any vendor outages, glitches, service interruptions, and resolutions to the Operations & Advisor Services team and to your Supervisor. Attend important custodian platform webinars and meetings.

MIDDLE OFFICE OPERATIONS:

Monitor the various operations queues (the requests for service submitted by our Financial Professionals) to be observant of service request ticket assignments, and execute upon those requests efficiently and accurately, including requests involving:

Account Maintenance
Asset Movement
Insufficient Funds/Margin Calls
Trade Errors
Check Deposits

Be cognizant of multiple service requests or other tasks assigned to you and prioritize effectively. Data entry for our various technology systems, i.e. Compliance Monitoring, Books and Records, and Performance Reporting.

TRANSITIONS:

Assist the firm in the transition of assets for a new Financial Professional (“FP”) or Registered Investment Adviser affiliating with us.
Organize document collection in a uniform manner and perform detailed analysis of new client CIP information and basic asset profile (i.e., account statements, ID, legal documents, etc.).
Asses and assign basic document and signor stats for each client.
Complete retirement rollover analyses for all qualified accounts.
Generate and process new client/new account forms to onboard and transfer the assets of the FP’s existing books of business (firm forms and custodian/sponsor company forms).
Generate and manage DocuSign and UPS envelopes.
Submit documents for Home Office review and approval.
Log issues and changes in transition tracker and be prepared to present statuses at regular intervals to FP.

REMOTE CLIENT SERVICES ADMINISTRATION (RCSA) PROGRAM:

Manage the service offering and the Advisor relationships within the program
Train, review, and assist in managing the resources supporting the program
Continuously review and manage the program functions and SLA metrics
Provide Advisor performance feedback to RCSA resources supporting the program
Resolve any client concerns and oversee exceptions
Prepare and review monthly invoices for program services and deliver to Finance Department
Report the program’s utilization and financial metrics on a monthly basis with Chief Operations Officer
Periodically review the program’s financial model and recommend price changes with Chief Operations Officer

Qualifications:

EDUCATION & SECURITIES LICENSES

Series 7 (General Securities Representative) (REQUIRED)

Series 63 (Uniform Securities Agent State Law) (preferred)

Bachelor’s degree with a focus/concentration on business-related field (preferred)

EXPERIENCE:

2-7 years’ experience in the financial advisory services industry

1 year experience in a position of client services, communicating with both Financial Advisors and

investors

Experience with executing client/account requests, i.e., new accounts, asset transfers, and account

maintenance, placing trades (across multiple custodian website platforms (preferred))

Experience with Registered Investment Adviser (RIA) and/or Broker/Dealer back-office responsibilities (preferred)

Experience with technology systems such as books and records, CRM tool, performance reporting

Experience with performing company admin roles for technology vendors, e.g., Microsoft Exchange 365 (preferred)

KNOWLEDGE:

Base knowledge of either/both of the following RIA Custodians and their current processes —Fidelity Investments and Charles Schwab (preferred)

Base knowledge of B/D Clearing Firms and their current processes-National Financial Services, BNY Mellon Pershing (preferred)

Base knowledge of the SEC’s Investment Advisers Act and FINRA regulations (preferred)

TRAITS & SKILLS:

Strong written and verbal communication skills, i.e., providing relevant information, taking complex

situations or processes and writing simple explanations or instructions

Strong time management, organizational, and prioritization skills

People friendly – genuinely enjoy engaging people and developing relationships

Have a calm, confident, and professional disposition in the midst of resolving problems

Sympathetic/empathetic to the consumer process and experience – able to walk in the client’s shoes

Comfort with Microsoft Excel and Adobe Acrobat; Proficient with DocuSign

Intuit technology tools and systems; able to download website applications to computers and

comfortable with basic troubleshooting methods

Understand and embrace uniformity and organizational processes for efficiencies; be prepared to

recommend improvements to current practices

High degree and standards to attention to detail

Inherently asks good questions; challenges current perceptions of FPs and generates solutions (quality

over quantity)

High degree of confidentiality – both in and outside of the workplace

Reliable and trustworthy – be sensitive to your prospective role as a member of a dynamic team and

that you and your team members will rely upon each other for group success

Quick learner and excellent memory

Simplifier – do you simplify or complicate?

Flexibility, coachability, and adaptability – be willing to learn new processes and assist on ad hoc projects

Jump Start Consulting

New Jobs

Advisor Support Specialist