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Client Associate Resume Samples
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10+ years of experience
Maintained excellent client/operational service for over $200 million in high net worth client assets.
- Recognized for over 10 years of excellent client service and operational problem solving.
- Identified new business opportunities and developed business leads which increased profitability.
- Created performance and marketing reports to help manage and grow client assets.
- Achieved office recognition for audit compliance and client retention.
- Oversaw client service and relationships that grew approximately 5-10% per year to $200 million.
- Excelled in training new hires and created best practices for team members.
- Achieved excellent audit and compliance scores for the office by overseeing document and account opening
6-10 years of experience
Ranked in top 1% of Client Associates, over 6000 – firm wide, while continually holding a 100% customer service approval rating from clients.
- Organized and managed daily administrative tasks for a team of 2 Advisors and 2 Assistants.
- Appointed as the Client Relationship Manager for team’s affluent, private wealth management clients.
- Answered phones, researched client inquiries, and resolved client issues.
- Proficient in Microsoft Word, Excel, PowerPoint and Outlook.
0-5 years of experience
Researched investment products and strategies, conducted the necessary due diligence, and implemented approved strategies in client portfolios
- Created financial plans for high net worth clients including gifting ideas, charitable donations, estate planning techniques, liquidity events such as IPOs, education and retirement analysis
- Advised clients on procedures for 83(b) elections, Rule 144 securities, and trading plans under Rule 10b5-1
- Produced Monte Carlo simulations to determine future goals, expenses, and wealth then discussed results with clients
- Analyzed capital markets, then with forecasted expectations, built valuation models for all types of securities
- Provided advisory support and reviewed monthly top down research for international wealth management team in order to help determine approach for $330 million practice
0-5 years of experience
Focused on enhancing client relationships and experiences by having interest, keeping open communication lines, and proactively scheduling meetings with clients.
- Tasked with ensuring accurate performance reporting, analyzing portfolios, and preparing account reviews for clients.
- Managed all incoming phone calls and emails handling issues, resolving issues, and escalating necessary problems for the team.
- Ensured team members completed tasks in a timely matter, managed the task flow to each individual, and tracked the progress of tasks assigned.
- Developed a complex Microsoft Excel spreadsheet using formulas and conditional formatting to ensure 300+ client meetings were scheduled before deadlines allowing for the business to be proactive rather than reactive.
- Maintained the contact management database of 1000+ clients, prospects, and professional relationships which included tagging profiles to receive relevant correspondence.
- Reduced the time spent on client correspondence letters from 5 to 3 minutes by creating templates in Microsoft Word which eliminated the time spent on adjusting margins and entering signatures.
0-5 years of experience
Partnered with 2 financial advisors and served as resource to additional advisors and client associates in regional network of IN, MI, OH, and WI.
- Directly conducted increased amount of client meetings for research requests and maintenance, enabling financial advisors to concentrate on sales and investment planning.
- Successfully completed training and implementation of brokerage computer system, integrating division into highly developed (former Wachovia) financial network.
- Guided financial advisor on training and creation of new product marketing tools, increasing service visibility and resulting in increased sales.
- Used Microsoft Outlook to track trade settlements, money movement and client contact, successfully increasing client servicing standards.
- Processed packing and offsite document storage for streamlined move to new office suite, leading to ease of access in new location.
10+ years of experience
Appointed Sr. Client Associate, assigned to high net worth broker customer base (top 5% of branch)
- Developed, documented, and implemented a new recruit standard operating process for onboarding top tier brokers and their customer book
- Served as a mobile liaison to all new recruits by providing in person training in multiple area offices
- Provided customer service by phone, earning multiple outstanding customer service awards during tenure
- Performed all aspects of account maintenance including transfers, wires, and document request
0-5 years of experience
Enhanced the client experience by servicing clients and providing operational and administrative support to Financial Advisers.
- Obtained knowledge of firm policy, procedures and software in order to interface with clients and prospective clients, anticipate their needs, resolve their problems, and follow through to provide exceptional service.
- Performed administrative duties that support Financial Advisers in their daily business practices (e.g., client meetings, on-boarding new clients, marketing, etc).
- Supported and directed firm initiatives and maintained risk awareness and regulatory knowledge.
- Managed and overlooked client portfolios and investments.
- Executed trades via company portals directed by the financial adviser.
0-5 years of experience
Prepared and presented client reviews to evaluate progress of goals including performance of portfolios and review of annuities
- Provided guidance to clients by directing best solutions to meet their investment objectives
- Identified business development and revenue opportunities through needs based selling
- Monitored investment changes and entered trades
- Developed additional contact management system to improve existing CRM tools
- Provided proactive support to service existing client relationships and worked within the team to provide enhanced client experience
- Managed multiple vendor relationships: insurance, annuity and money managers
0-5 years of experience
Prepared performance reports and comprehensive financial plans for client meetings
- Provided administrative support to financial advisors including client paperwork
- Created PowerPoint presentations for events offered by advisors
- Supplied advisors with resources on mutual funds, exchange-traded funds, and other products
- Updated database for prospects and clients
6-10 years of experience
Provided high-quality support to multiple First Vice Presidents/Financial Advisors at all levels of their business
- Developed and maintained close working relationships with high net worth clients, enabling Financial Advisors to focus on production
- Placed security trades, assisted in class action submissions, and reconciled cost basis issues
- Maintained calendars and appointments and reported on pending and completed tasks in bi-weekly business meetings with team
- Prepared quarterly client performance reports
- Managed all aspects of scheduling portfolio reviews
6-10 years of experience
Managed cash drawer of $32,000 throughout the day and balanced at the end of the day
- Interacted and communicated within a team of 4-8 coworkers to provide great customer experience as well as complete tasks during peak hours
- Developed relationships with clients and completed personal and commercial transactions at their request
- Analyzed clients accounts to determine any problems with the account than relay information to bankers to correct any mistakes
0-5 years of experience
Interviewed clients to determine current income, expenses, insurance coverage, tax status, financial objectives, risk tolerance, and other information needed to develop a financial plan.
- Developed new client on-boarding process to ensure a consistent and optimal client experience.
- Received a client satisfaction rating of 98% for customer service.
- Managed calendar scheduling for Financial Advisor.
- Conducted daily account reviews to find service opportunities and areas for development.
- Managed all periodic distributions, including liquidations, and one-time distribution requests.
- Coordinated both intimate and large client events.
0-5 years of experience
Worked with high net worth investors to service their accounts, inquiries and requests
- Created proposals and implemented recommendations using managed money platforms
- Executed trades for Clients
- Organized and managed trade alert platform
- Organized vendor sponsored Investment Seminars engaging outside speakers for clients and prospects
- Assisted new client associates in learning the firm’s service platform
0-5 years of experience
Executed all securities and foreign exchange trade transactions.
- Spearheaded processes, guidelines and best practices according to Legal and Compliance requirements and sales efficiency
- Complied with Bank’s risk management and control principles, credit and risk policies.
- Main point of contact for all detailed client inquiries and requests.
- Managed customer service on bank products and services for all high net worth clients ($10 -$100 million/client).
- Monitored daily reconciliation of trades, wires, overdraft, and other daily transactions.
- Performed day to day operations including but not limited to loans, FTD, trade execution, wire transfers, new account
Client Associate Duties and Responsibilities
Client associates may work for various organizations requiring different duties and responsibilities. Based on job listings we analyzed, client associates’ duties typically involve:
Establishing Customer Portfolios As the main contact for customers, building strong relationships and rapport is vital for client associates. They provide support for the client’s account needs, answering questions they may have and providing training if necessary.
Providing Administrative Support Client associates carry out administrative tasks for the financial advisers, such as maintaining client account information and assisting with special projects and urgent account tasks.
Communicating with Clients Client associates communicate with customers and associates in person, on the phone, and via e-mail. They open new accounts for customers, establishing new customer portfolios. Client associates also provide support for existing customers and portfolios, staying in regular contact with their clients.
Assisting and Educating Clients Client associates explain account services and their capabilities, guiding clients to the products or services best suited to their needs. Collecting the necessary documentation, client associates ensure new accounts are set up properly.
Carrying Out Competitor Analysis Client associates collect and analyze competitor data and client usage to find new business opportunities and to develop relationships with prospective clients.
Client Associate Skills and Qualifications
Client associates have excellent organizational skills. Typically, employers require an associate’s or bachelor’s degree in a relevant subject, as well as previous clerical experience and the following abilities:
- Problem-solving abilities -to resolve inquiries and complaints professionally and to prioritize issues
- Customer focus – to grow the client base, establishing new customer portfolios and to provide excellent service to clients
- Numerical aptitude – to deal with data, from maintaining account information to generating reports
- Teamwork – client associates help financial advisors with projects and tasks, and work with colleagues to meet team goals, coordinating with sales teams to grow the customer base
- Computer skills – to use programs such as Microsoft Office to create reports and carry out administrative tasks
Client Associate Education and Training
No formal education is required to become a client associate, although employers typically prefer applicants to have an associate’s or bachelor’s degree in a business or finance-related field. Prior clerical or banking experience is necessary for this job, as well as Series 7 and Series 63 licenses, though this varies by state and institution. Most of the skills required can be learned through on-the-job-training.
Client Associate Salary and Outlook
The median annual salary for client associates is $48,000, according to PayScale. Client associates in the 10th percentile earn around $39,000 a year, while the highest-paid earn $63,000 a year. Bonuses and profit sharing opportunities make up to $15,000 and $20,000 respectively. Location is the biggest factor influencing pay for this job. The majority of companies provide health benefits for this position, including dental and medical coverage. The Bureau of Labor Statistics predicts that the growth rate for financial clerks will grow by nine percent through 2026.
Helpful Resources
We’ve collected some of the best resources to help you learn more about a career as a client associate:
The Challenger Sale – This book provides the secrets to sales success, from the skills and behaviors needed to succeed to the attitude that matters most for the best performance. Based on a study of countless real-life experiences, this book is a must for anyone working with customers and trying to build profitable relationships.
The Supernova Adviser – From client services to client acquisition, this book outlines how this highly successful model can be used to create a great client experience and grow businesses efficiently.
Financial Adviser Network – This LinkedIn group, with more than 17,000 members, was created for financial advisors to share ideas and vital resources with their global colleagues. For client associates looking to build their knowledge of their industry, this is a useful group to be a part of.
Business Insider – The only site needed for all things business, finance, and the economy, this website has a wealth of up-to-date news articles and thought pieces on today’s financial climate. For anyone working in the financial sector, this site is a must-read.
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Last edited by: Gabriela Barcenas, CPRW, Content Writer II -
Gabriela Barcenas
CPRW, Content Writer IIGabriela is a Certified Professional Resume Writer (CPRW) and career adviser. With 10 years of digital media experience and five years of resume writing expertise, her publication history includes fashion, education, travel, social justice, equitable design and career advice.
