Client Specialist I

Position Summary 

The Client Specialist I plays an integral part in supporting assigned Wealth Advisor(s) with delivering quality client service to the Wealth Advisors’ clients. This role is eligible for support in preparing for licensing exams required to advance in their career path within Simmons Investment Services. Advancement is dependent upon completing milestones, performance metrics, and securities licensing. This role also utilizes technology from Simmons’ third-party broker dealer and product wholesalers to service Wealth Advisors’ clients. This position is eligible for a base salary and performance-based commission.  

Essential Duties and Responsibilities 

Administrative:  

• Manages Advisor(s) calendar of events and client meetings. 

• Orders and manages office supplies. 

• May submit assigned Advisor(s) expense reports. 

Client Service and Account Management: 

• Point of contact for client reception and internal departments. 

• Proactively communicates with clients and Advisor(s) to schedule meetings, answer routine questions, complete service requests, escalate, follow-up, and resolve issues. Activities may include: 

• Processes address and beneficiary updates, remote deposits, move money, security receipts, annuity orders, 1035 exchanges, gathering trust documents, and following up on completion of transactions 

• Educates clients and Advisor(s) on account services, onboarding process, and new technology, i.e., eSignature, paperless statements, and client portal 

• Documents client communications, reviews, meetings, and requests in Client Relationship Management (CRM) tool. 

Marketing, Business Development, and Relationship Management: 

• Prepares, mails, and/or publishes Advisor(s) communication to clients, i.e., forms, letters, birthday cards, etc. 

• May submit Advisor(s) client focused marketing materials to manager and/or compliance for approval.  

• May pre-screen for assigned Advisor(s) client referrals from retail bank associates. 

• May attend business development and client meetings to facilitate onboarding and take meeting notes. 

Performs other duties and responsibilities as assigned 

Qualifications 

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements list below are representative of the knowledge, skill, and/or ability required. 

Language Skills 

• Ability to read and interpret documents such as procedure manuals, general business correspondence, and/or journals or government regulations. 

• Ability to effectively present information and respond to questions from groups of managers, clients, customers, and the general public. 

Education and/or Experience 

• HS Diploma/GED required. 

• Two years of banking or financial industry experience preferred. 

Computer Skills 

• Proficiency in Microsoft Office Programs. 

Certificates, Licenses, Registrations 

• FINRA Securities Industry Essentials® (SIE®) and Series 7, Series 63 or 65 optional. 

• Life/VA/Health Insurance license optional. 

• Notary optional. 

Other Qualifications 

• Basic knowledge of financial products preferred. 

Other Skills 

• Build and foster collaborative relationships. 

• Professional verbal and written communication skills. 

• Advocate, escalate, and follow-up on behalf of Advisors and Clients to resolve complex issues. 

• Time management and organizational skills, able to manage multiple priorities. 

• Strong analytical and problem-solving skills. 

• Protects client information and documents according to compliance laws, regulations, policies, and procedures. 

• Reviews all documents and processes for accuracy, completeness, and are compliant with regulations and policies. 

Please note this job description is not designed to cover or contain a comprehensive listing of all responsibilities that are required of the employee for this job. Activities, duties, and responsibilities may change at any time with or without notice.