Client Associate

Rockefeller Capital Management is a leading independent financial advisory firm – providing wealth management, asset management, and strategic advisory services to ultra- and high-net-worth individuals, families, businesses, and institutions. Led by President & CEO Gregory J. Fleming, the firm offers an elevated experience based on traditional Rockefeller global family office values of excellence and service.

Formed in 2018 following the acquisition of Rockefeller & Co., Inc., the firm is rapidly extending its historic brand into contemporary markets. Based in New York City, it has over forty offices in the United States and London and oversees some $112 billion in client assets.

The Client Associate (CA) actively supports Private Advisor with various tasks related to client account operational activity, asset allocation and account oversight and reporting. The CA often serves as a direct point of contact for client related inquiries.  The position requires interfacing with clients to determine client needs and expectations, and to communicate to clients as necessary. The CA is responsible for prioritizing and completing daily deliverables for the Private Advisor, using the company’s proprietary portfolio accounting and reporting software or other applicable systems. The CA maintains client accounts, verifies data and develops reports that explain complex asset allocation, performance and risk management concepts to clients. Handling issues of account management, such as new relationships, trading, investment subscription documents, and daily account activity, are important.  The CA must be able to reassess priorities as situations arise for multiple clients, and working with a team of CAs, also back-up and fill-in to balance workloads as needed.

• Handle operational aspects of client accounts including reporting on account holdings, investment performance, posting daily cash activity, updating the investment database and entering trade instructions
• Proof and assemble client quarterly reports including performance data, cash flow information, tax forecasts, execution instructions, and other client specific presentations
• Fill out and follow up on subscription documents for illiquid and alternative investments
• Liaise with other teams such as Operations, Technology, as well as external investment sponsors, to review daily processing of data in the relevant relationship accounts thus ensuring that reporting deliverables are accurate, complete, and timely
• Address client requests for money movements, gifts, manage client expectations, as well as handle other matters as they arise
• Perform one-off financial research requests using third-party data and software, and internal systems
• Keep Private Advisor and Senior Associates apprised of the status of client relationships and related tasks; escalate client issues as appropriate
• Serve as back-up to other Associates when necessary
• Maintain a sense of ‘ownership and accountability’ for the clients the CA services; communicate clearly, maintain careful records, have attention to detail and follow compliance policies and procedures

• A BA/BS is required; degree/coursework in Finance, Accounting, Economics or Statistics preferred. Non-finance majors with relevant experience are welcome to apply. Strong academic performance
• 0-3 years prior customer service experience within banking or finance industry, or equivalent experience, preferred
• Experience in actual account servicing roles, including on-boarding of new accounts, is a particular plus
• Series 7 license preferred, or willing to take and pass required licensing exams
• Broker dealer operations experience preferred

• Basic understanding of investments and/or portfolio reporting and related terminology
• Highly proficient in Microsoft Office with emphasis on Excel; ability to use Excel to organize, analyze, present and report on client information; Word, Access and PowerPoint a plus
• Ability to work well independently and as a part of a team
• Ability to multi-task and be able to reassess priorities as situations arise
• Detail-oriented and attention to accuracy and meeting deadlines
• Excellent inter-personal skills
• Ability to exercise discretion with confidential matters
• Strong communication skills, both written and verbal
• Ability to express ideas clearly and concisely

The anticipated base salary range for this role is $80,000 to $90,000. Base salary for the role will depend on several factors, including a candidate’s qualifications, skills, competencies, and experience, and may fall outside of the range shown. In addition, this role may be eligible for a discretionary bonus. Rockefeller Capital Management offers a comprehensive benefit package including health coverage, vacation time, paid leave, retirement plan, and more. Visit careers.rockco.com to learn more about additional opportunities and benefits offerings. ​

Rockefeller & Co. LLC, Rockefeller Financial LLC, Rockefeller Trust Company, N.A., The Rockefeller Trust Company (Delaware), Rockefeller Financial Services, Inc. and all other subsidiaries of Rockefeller Capital Management L.P. (individually and collectively, “Rockefeller”) is an equal opportunity employer and does not discriminate on the basis of race, religion, sex, gender, sexual orientation, gender identity or expression, national origin, citizenship, age, military or veteran status, marital or partnership status, caregiver status, legally recognized disability, or any other basis protected by applicable federal, state or local law (“protected characteristics”).

Rockefeller Capital Management participates in the E-Verify program in certain locations, as required by law.