Job Description

Client Associate

Job Description:

Waterloo Capital is a fast-growing, Registered Investment Advisor (RIA) committed to helping clients manage their long-term wealth. We are looking to hire an individual in our Dallas office location to support the firm’s client services team to expertly service, maintain and strengthen our client relationships. The individual will develop relationships with the firm’s clients, assisting them with account service and working with the advisory team to build financial plans.

Responsibilities:

• Support the day-to-day activities of the Director of Client Relations
• Complete account maintenance documents, to be reviewed by the Director of Client Relations
• Facilitate the completion of due diligence requests and client questionnaires
• Proficiently maintain CRM database information
• Communicate daily with current and prospective clients, as needed to perform Client Service activities
• Assist in preparing presentation materials for meetings with clients and prospects
• Participate in meetings with clients, taking notes, documenting follow up items, as well as relaying activities and tasks to other staff.
• Examples of deliverables include introductory presentations, portfolio reviews, financial plans, and follow-up materials
• Assist in the firm’s Advisor Support services, as needed

Client Servicing Activities:

• Complete & process new account applications
• Complete & process incoming client service requests in a friendly and professional manner
• Update & review database/CRM to reflect account status regarding new business and/or services
• Maintain an organized, regulatory compliant, and efficient cloud-based file storage system (NetDocs)
• Follow-up on pending business and servicing requests and contact clients with status updates
• Gather account values and complete client review summary for upcoming appointments
• Prepare weekly metrics report on new business and serving requests
• Assist Advisor(s) with client reports and mailings
• Assist Advisor(s) with educational workshops & client events, as needed
• Other duties to assist Advisor(s), as needed

Qualifications:

• Bachelor's degree preferred
• 1-3 years of experience in Financial Services preferred
• FINRA Series 65 license (or completion of exam within 90 days of employment)
• Familiarity with Charles Schwab, TD Ameritrade and/or Fidelity Investments preferred
• Detail-oriented, organized, proactive, problem solver
• Able to work equally well in a team environment and independently
• Strong time-management skills; Self-starter who can complete multiple projects within set deadlines
• Flexible and adaptable to changing task requirements and client needs
• Strong Microsoft Office skills with the ability to learn new software programs as needed

Compensation Package:

• $60-70k per year starting base salary
• Access to company 401K plan – up to 4% of salary in matching contributions
• Access to company health insurance plan – employer pays 100% of premium

Job Type: Full-time

Pay: $60,000.00 - $70,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Flexible schedule
• Flexible spending account
• Health insurance
• Paid time off

Physical setting:

• Office

Schedule:

• Monday to Friday

Work Location: In person

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