Client Service Associate

Client Service Associate

Full-Time, In-Person | $60,000–$75,000 per year

About Us
We are a client-focused wealth management firm committed to delivering personalized, high quality financial services. Our team values professionalism, integrity, and strong relationships, and we take pride in providing thoughtful, responsive support to our clients while maintaining the highest fiduciary and regulatory standards.

Position Summary: The Client Service Associate (CSA) partners closely with Financial Advisors to deliver exceptional client service and ensure the efficient day-to-day operations of a Wealth Management practice. This role is responsible for client onboarding, account maintenance, transaction processing, client communications, and operational support, all while adhering to firm policies, regulatory requirements, and fiduciary standards. The CSA serve as a primary liaison between clients and Advisors for service-related needs, helping maintain a consistent, high-quality client service. This is a career client service role and is not an advisory position or part of an advisory track.

Duties and Responsibilities:

· Deliver comprehensive office support, including answering calls, assisting visitors, preparing and processing documentation, and resolving or directing inquiries.

· Serve as a primary point of contact with clients for service requests and account updates, ensuring timely, professional, and accurate responses.

· Educate and assist clients with digital tools and platforms (e.g. Client Access, DocuSign, paperless delivery).

· Facilitate new account onboarding and maintenance of client accounts by collecting required information and documentation, ensuring accuracy and compliance with regulatory and firm requirements.

· Manage ongoing account maintenance requests, including beneficiary updates, contact information changes, and standing instructions.

· Process client cash movement requests and execute securities transactions under Advisor direction or approved firm models.

· Monitor accounts for cash balances, distributions, and required minimum distributions (RMDs).

· Interpret and assess tax implications of distributions across different account types and assist clients with related basic inquiries.

· Process unsolicited client orders promptly and accurately, in full compliance with regulatory and firm requirements.

· Collaborate with Advisors and Operations team to ensure seamless client support and workflow efficiency.

· Prepare client reports, service summaries, and presentation materials for Advisors.

· Participate in special projects and process improvements as assigned.

· Document client interactions, service requests, and action items, ensuring proper follow-up and completion.

· Maintain accurate and organized files, databases, and records in accordance with retention policies.

· Remain current on firm policies, procedures, platforms, and regulatory requirements relevant to role.

· Ensure all activities are conducted in accordance with firm policies, regulatory requirements, and fiduciary standards.

· Identify and escalate compliance issues, fraud, or privacy concerns to Advisors or Supervisor.

Desired Skills and Experience:

· Client first mindset with a strong understanding of fiduciary responsibility.

· Exhibits integrity and professionalism in all interactions, ensuring confidentiality of sensitive data.

· Effective team player with a willingness to support shared goals.

· Exceptional written and verbal communication skills.

· Strong organizational, prioritization, time-management and analytical skills.

· Detail-oriented with the ability to manage multiple tasks in a face-paced environment.

· Previous client service and operational support in financial services is preferred.

· Exposure to various investment products and brokerage platforms is a plus.

Qualifications:

· Bachelor’s Degree from an accredited college or university (required).

· Active Series 7 and 66 licensed (required).

· 5+ years industry experience (required).

· Proficiency in Microsoft Word, Excel and Outlook.

· Financial industry certifications or advanced education (e.g. MBA, CFP) are a plus but not required.

Reporting & Supervision:

This position reports directly to the Office Manager and operates under their supervision. The CSA has no discretionary investment authority and does not provide investment advice. All trading and portfolio activity is executed based on Advisor direction and firm-approved procedures.

Benefits Package:

· Paid Time Off (PTO): Exempt employees are eligible for 96 hours of PTO (48 frontloaded + 48 accrued through the remainder of the year), NYSE Holidays, and their birthday.

· Earned Sick Leave: All employees are eligible for accrued sick leave per New Mexico regulation.

· Qualified Small Employer Health Reimbursement Arrangement (QSEHRA): Employees working 30 hours or more per week are eligible for a non-taxed reimbursement of certain health care expenses, including health insurance premiums and coinsurance.

· Life Insurance & Short-Term Disability: Employees working 30 hours or more per week are eligible for life insurance and short-term disability.

· 401(k) Retirement Plan: Employees 21 years of age or older are eligible to participate in the Zerothreesixty, LLC 401(k) with a company match up to 4%.

Schedule and Work Environment:

• Full-time, in-person position (remote work is not available)
• Monday through Thursday, 8:00 am to 4:00 pm
• Fridays, 8:00 am to 3:00 pm
• Paid one-hour lunch daily

Job Type: Full-time

Pay: $60,000.00 - $75,000.00 per year

Benefits:

• 401(k) 4% Match
• Health insurance
• Life insurance
• Paid time off

Education:

• Bachelor's (Preferred)

Work Location: In person