Client Service Manager

Description

The Client Service Associate plays a vital role in supporting the Wealth Manager by delivering excellent financial planning and investment management services to clients. This individual helps prepare detailed financial plans, conduct portfolio reviews, and develop client meeting materials—ensuring a consistent, high-quality experience for every client household served.

Key Responsibilities

• Create, send, process, and follow up on all client paperwork (applications, investment advisory agreements, etc.) in a timely fashion. Send clients all necessary supplemental paperwork, brochures, and regulatory disclosures.
• Create, maintain, and update client accounts within CRM, B/D, and supplemental systems.
• Process and prepare all new client transfer requests into existing accounts.
• Process client ACH/wire requests, move money requests, distribution requests, address changes, beneficiary changes, change model allocations, set up distributions, process death claims, etc., in a timely fashion. Confirm all transactions were processed as requested.
• Set up and maintain client accounts to specified risk tolerance.
• Identify, calculate, and process clients' annual Required Minimum Distributions (RMDs).
• Utilize the CRM to manage and document all client activity. Set up new clients and updates of client information, task scheduling, and completion. Store all client documentation on the network.
• Spearhead office compliance-related items such as audit preparation, Reg BI, monthly correspondence blotter, advertising and sales literature approval, etc.
• Download and send commission statements to the home office. Input revenue on various reports.
• Order and maintain office supplies as needed. Send all invoices to accounts payable for processing.
• Track and manage overall licensing for office staff.
• Answer the main office phone line.
• Take a lead role in strengthening and growing our team’s relationships with clients.
• Follow our team’s core values – being positive, humble, and collaborative.
• Actively support the Financial Services Division advisors in all team efforts, events, and functions.
• Contribute to team meetings and events in a positive manner.
• Respond to all client requests as soon as possible.
• Update voicemail greeting message daily.
• Other duties and special projects as assigned

Skills, Knowledge and Expertise

Requirements:

• Three plus years relevant working experience in the financial or investment management industry.
• Education – High School diploma or equivalent required.
• Series 7 registration is required.
• Series 65 / 66 registration is preferred.
• Knowledge of financial planning and investment strategy/structure preferred.
• Current notary public is a plus.
• Excellent communication skills required, both verbal and written.
• Must be able to establish and maintain effective relationships with colleagues, customers, and business partners.
• Proficient in MS Office – namely Outlook, Word, and Excel.
• Professional demeanor and behavior are required, as referenced in the Heffernan core values (Habits).

Why Choose Heffernan?

At Heffernan, our culture is guided by the Heffernan Habits, prioritizing communication, respect, fun, community impact, and celebrating what makes each of us unique. We’re proud of our strong commitment to philanthropy and giving back, and we support our employees with a comprehensive benefits package designed to promote well-being, growth, and long-term success.

Heffernan Habits:

These are core values that represent our unique culture.

• Answer The Phone (And Email): Communication is the foundation of success in life, work, and relationships. It begins with being present and responsive to both clients and colleagues. Listen to what is said and notice what goes unsaid.
• Have Fun: Fun is something we don’t shy away from, and participation brings us together on many different levels. Take the time to know your colleagues and let barriers fall away. If we are happy and enjoy time together, we will do a better job for our clients and for one another!
• Be Respectful: Lend a hand, be kind, and smooth the path. Respect is the cornerstone of developing and maintaining strong relationships. Lead with humility, take ownership of your actions, and ease the way for others. We are in this together as a team, as a family, and as trusted advisors to many.
• Do Good: This is our core. We strive to do good for our clients, our community, and our planet.
• Celebrate & Value Our Differences: “Because You’re Different”. It is our differences, when valued and amplified, that allow us to innovate, to learn, to connect, and to stand apart from the rest.
• The compensation for this role will depend on the geographic region, job-related knowledge, skills, and experience, among other factors. This role will be eligible to participate in an annual bonus program.

About Heffernan Financial

At Heffernan Financial, we believe financial planning is about more than numbers, it's about helping people achieve their goals and live with greater confidence. As an independent SEC Registered Investment Advisory firm with more than 30 years of experience, we provide trusted guidance to individuals, families, business owners, and retirees as they navigate important financial decisions. Joining Heffernan Financial means becoming part of a team that values integrity, collaboration, and service. We foster a supportive environment where professionals are empowered to build meaningful client relationships, continue growing their expertise, and make a lasting impact. Backed by the strength and values of the Heffernan Group, our team is committed to delivering exceptional client experiences while supporting one another's success, both professionally and personally.