Client Service Associate

Client Service Associate

Rockwood Wealth Management is an established financial advisory firm serving clientele from our office in New Hope, PA. We are in the family wealth management business focusing on high-net-worth clients, families, and business owners. Through a planning process built on integrity, expertise, and attention to every detail, we navigate our clients through every phase of comprehensive financial planning and discretionary investment management. We have been serving this area and regional niche for more than 15 years and have a constantly evolving succession plan in place to ensure that we’ll be here 30+ years from now.

This is a unique opportunity unlike most in the financial services industry. First, our firm is completely independent…there is no broker dealer affiliation. Therefore, as fiduciaries our loyalty belongs exclusively to our clients. Second, we offer a competitive compensation structure (salary and benefit package) and an equity ownership track for coworkers who demonstrate hard work and leadership characteristics while supporting the long-term goals of our firm. You will be a member of a collaborative and supportive team of high-performing colleagues all working hard to help us grow a successful and multigenerational business.

Rockwood Wealth Management is seeking to add an A-Player to our team, in the role of Client Service Associate. If you have experience in the investment management industry, including customer service, portfolio management, and operations, this could be the opportunity for you.

Job Summary:

The Client Service Associate position provides high quality support to RWM’s advisors and clients. They work closely with the custodians, advisory team, and trading team to ensure that the details of our client’s custodial accounts are thoughtfully set up and expertly maintained. This person must have experience working in a fast-paced professional environment and be highly organized and detail oriented.

Job Accountability:

The Client Service Associate position is a member of the internal operations team and reports to the Director of Wealth Management.

Duties and Responsibilities:

· Partner with Wealth Advisors to service the clients’ operational needs.

· Custodian Management - assist with new account creation, account transfers, movements of money, account updates, etc. on Fidelity and Charles Schwab platforms.

· Communication of progress and missing information with client regarding custodian issue; escalate issues to advisory team as needed.

· Miscellaneous paperwork, data entry, and admin tasks.

· Deliver Investment Policy Statements and Wealth Management Agreements electronically to clients via “Docusign”.

· Organize client folder structure and scan and file meeting documents.

· Maintaining CRM and key points of data in our systems.

· Assist with distribution of mass documentation to clients and COI's; this would include the Form CRS, ADV, etc.

· Scheduling Progress Meetings and Calls with clients and Advisory Team as needed.

· Assist with new client onboarding process.

· Prepare basic client meeting materials.

Specific Skills:

· Bachelor’s degree in business, finance, or related field, or equivalent work experience.

It would be great if you had:

· 1-3 years’ experience working in investment management or financial advisory services

· Proficiency in Microsoft Office 365

· Understanding of RIA industry fundamentals

· FINRA Series 65 or equivalent

· Specific experience working with Fidelity and Charles Schwab Custodian Platforms strongly preferred. Additional experience with Tamarac Portfolio Management system helpful.

Personal Qualities:

· Strong organizational skills and systems acumen.

· Detail-oriented with a high degree of accuracy in your work product.

· Personal integrity and ability to discreetly handle confidential data.

· Adeptness at prioritization and proactive planning with ability to complete multiple time-sensitive tasks, responding to urgent needs.

· Able to effectively interact with coworkers at all levels.

· Desire to work in a suburban environment and contribute to the success of a fast-growing but humble company.

· Exhibit professionalism and composure in stressful situations and in meeting short deadlines.

Salary and Benefits Information:

· Base salary commensurate with experience plus incentive bonus plan.

· Company covered employee medical and dental benefits.

· 401(k) plan with safe harbor matching employer contribution and discretionary profit-sharing plan.

· Employer sponsored health insurance and STD/LTD.

· Approved education and conference allowance.

· PTO and Paid Holidays.

· Hybrid/location flexible work environment: 3-1-1.

· Membership to local gym