Client Services Associate

Amazing Opportunity to join a top Wealth Mgmt. Group with top-tier financial services. We are looking for a Client Service Associate who will focus on interacting with Ultra-High-Net-Worth clients and the sales team.

In this position, you will work in one of the best-known global financial services firms and work directly with the best-performing High-Net-Worth Wealth Managers.

Title: Client Service Associate (must have Series 7 licence)

Position Overview:

We are seeking a dedicated and detail-oriented Registered Client Service Associate to join our Wealth Management team, focusing on stock plan business and client equity plans. This role requires close collaboration with corporate clients and their equity plan participants, providing exceptional service and support.

Key Responsibilities:

Executive Service:

• Provide comprehensive support in managing equity awards, including RSUs, Performance Units, NQ Options, SARs, and ISOs.
• Educate on the specifics of company equity awards.
• File necessary SEC paperwork for transactions, including Rule 144 and Section 16 forms.
• Ensure accurate and timely public filings in collaboration with the financial services team.
• Implement and manage 10b5-1 Plans.
• Uphold and enforce company policies related to share retention, holding periods, and trading windows.

Relationship Management:

• Serve as the primary liaison between corporate clients’ equity compensation departments and the Wealth Management team.
• Communicate upcoming events and updates to the Wealth Management team.
• Introduce equity participants to Financial Advisors to assist with diversification and additional financial services.

Operational Service:

• Handle day-to-day tasks and inquiries related to the administration of stock plans.
• Manage account opening and maintenance.
• Prepare and distribute reports on gains and losses, projected income, tax documents, and performance metrics.
• Execute transactions, including buying and selling securities, cash transfers, capital calls, donations, and withdrawals.
• Oversee the administration of corporate actions such as mergers, acquisitions, and spin-offs.

Qualifications:

• Strong understanding of equity awards and SEC regulations.
• Excellent communication and relationship management skills.
• Detail-oriented with strong organizational skills.
• Ability to handle multiple tasks and priorities effectively.
• Experience with financial reporting and transaction processing.