Service advisor

The Service Specialist will report directly to the Director of Advisor Experience.

The Service Specialist is responsible for providing a wide range of administrative and client support services. They closely with advisors to answer questions, resolve inquiries, process transactions, and ensure their accounts are accurate and up to date.

The Relationship Specialist also works collaboratively with other departments to ensure smooth and efficient service delivery.

The Relationship Specialist also plays a key role in risk management, identifying items that need urgent attention, and making things are complaint with regulatory requirements.

Job Responsibilities

• Provide client service to our Stratos financial advisors and asset management partners.
• Work with multiple custodians on new account processing, operational items. This includes preparing required paperwork and facilitating account opening with our Custodians.
• Serve as a subject matter expert for new account processing & the House Brokerage Program
• Facilitate account transactions, submit, and track account transfers, as well as money movement.
• Facilitate problem solving and escalations with platform custodians.
• Collaborate with team members on process improvement and workflows.
• Serve as an internal resource for account servicing, custodian-related inquiries, and matters & the house brokerage program.
• Identify and resolve client issues promptly.
• Escalate complex issues to the appropriate team member.
• Adhere to all regulatory compliance requirements.
• Contribute to the development and implementation of new processes and procedures.
• Stay up to date on industry knowledge and best practices.
• Build and maintain positive relationships with clients and colleagues.
• Work independently and as part of a team.
• Meet deadlines and maintain strong attention to detail.
• Provide front desk coverage as needed.
• Bachelor’s degree in business administration, finance, or related field.
• 2 years of experience in client service or a related field.
• Strong understanding of financial services terminology and regulations.
• Proficient in Microsoft Office Suite and other relevant software.
• Detail-oriented and able to multitask.
• Ability to work independently and take initiative.
• Positive and enthusiastic attitude.
• Commitment to providing excellent customer service.
• Ability to work in a fast-paced environment.
• 2 Years of RIA industry experience (preferably with a large RIA).
• FINRA Series 7, 65 or 66 preferred.
• Familiarity with Fidelity and / or Charles Schwab a plus.
• CRM experience preferred (Salesforce Experience is a plus).

Last updated : 2024-05-02