Client Service Associate

Summary:   To assist advisors and provide expectational service to our clients.  

Client Management: 

• Assist in business processing with Client Service Manager (Anna). 
• Manage follow up communications with clients after meetings – sending out summary letters (including FA’s written implementation recommendations), emails and phone calls - follow up for items required.   
• At every client interaction make certain they are using Ameriprise secure site.  Train and help clients if needed. 
• Answer questions and provide readily available information to clients, if requested and as allowable, as it relates to their accounts.  
• Assist in the tracking of financial and personal changes that could impact product solutions. 
• When applicable track ACATS to completion 
• Consistently look for new business as the client is being serviced, whether it is from outside assets, internal assets, or referrals, and ensuring the staff is also doing this.  Turn service into sales. Point of emphasis. 
• Look for Rollover and In-Force distribution opportunities. 
• Consistently update the client file, update beneficiary (get information disclosure form and trustee/executor contact info and contact this person) including compliance requirements.  
• Consistently update suitability including but not limited to any changes in clients’ suitability requirements, email address and phone numbers, consistently update suitability - validate the client’s goals and risk tolerance. include compliance requirements. 
• Answer questions and provide readily available information to clients, if requested and as allowable, as it relates to their accounts. Timely resolve all client questions and concerns and follow-up with clients and staff.  Ensuring an exceptional client experience before and after meetings. 
• Ensure held away asset information is included on meeting. 
• Ask for Client Referrals using scripted verbiage. 
• Ensure RMD’s are completed. 

Client Operations: 

• Assist entire staff in all areas to drive new business and sales which includes consistently look for new business as clients are being serviced, whether it is from outside assets, internal assets or referrals, turn service into sales, looking for Rollover and In-Force distribution opportunities and ideas for Rienas and Brown Wealth Management in all areas of firm. 
• Trades - when asked by licensed FA or AFA to execute approved trades. 
• Collect and input client info in CRM sets, including missing items, as well as updating CRM. 
• Constant use of all sales trackers – update daily – review weekly and follow through. 
• As needed, use of phone call scripting ensures maximum client fulfillment. 
• Streamline operational inefficiencies in house- look for new procedures to implement. 
• Maintain files and records in accordance with the records retention policy. 
• Update required documentation. 
• Scanning as needed. 
• When opening new and existing client accounts and make sure all accounts opened are accurate and timely (open all new accounts in a timely fashion). Use account opening checklist created 2024. 
• Make sure ALL annuities, life insurance, LTC etc., are linked to client households, if applicable.  If not linked, make sure the Advisor Scorecard acknowledges AUM. Then update tracker. 
• When wholesaler is in office ensure lunch for the time, he/she arrives 
• Ordering supplies (Inc. but not limited to Staples, WB Mason and Amazon) and managing. 
• Assist in CSM/CRM development and implementation. 
• When in the client BOX folder update, consolidate and organize such that duplication ceases.  The names of the files must be consistent. One folder for each household. 
• Answer and direct phone calls. Greet clients for service meetings.  
• Training new employees if needed.  
• When delegating to one of the interns ultimately the paperwork needs to be reviewed for its accuracy as errors take time which frustrates everyone including the client (CAF arrangements, Trust Paperwork, POA, ACH, etc…) and to make sure all forms that are required are included that are sent to the client or trustee originally. 

Marketing: 

• Assist on an ad hoc basis supply management including, but not limited to, brochures, trinkets for seminars and events and arrange for seminars and client appreciation events from conception to completion, including but not limited to, booking of event, wholesaler involvement and reimbursement, trinkets. as well as ordering supplies for the office. 
• Update Wholesaler tracker continually - creating and using trackers for trinkets and wholesaler funding.  
• Assist in developing/ordering marketing materials for the office.  
• Assist in the coordination of client appreciation events and seminars. 
• Maintaining all marketing materials and brochures are current and up to date. 
• Assist with website updates all 3 (team and both individuals) updates continually. 
• Party planning details- creating invites, centerpieces/decorations, mass mailings, catering, giveaways. 
• Website- posts, edits, reviews/survey 
• Hearsay- Posts to LinkedIn and Facebook 
• YTD sales for wholesalers updated quarterly and in the onset of large events where numerous wholesalers are needed. 
• 59 ½ / 70 ½ cards 
• Ordering gifts, sending flowers, etc. 
• Holiday cards Systematically send get well, sympathy, holiday cards, flowers etc.. Updating the tracker 
• update referred in and out trackers as instructed. 

 Calendar Management 

• Maintain master client service spreadsheet. Ensure updates on a daily basis. Use this to schedule ongoing client meetings. Ensure any new clients on-boarded are added to the spreadsheet.  Ongoing – Update spreadsheet and use to best potential.  Calendar management needs to be top priority especially for DOL and minimum annual review for all managed accounts. 
• Ensure Schedule ongoing Client Service meetings according to client segmentation (see directly below). 
• Base appointments on segmentation list including MAAR letter due date – 4,3,2,1 not only plan count and convenience and schedule for the entire year. Scheduling appointments. 
• Ensure all information for meetings are on appointment. Download applications, beneficiary forms, transfer forms, compliance forms as needed and assist advisors if need any additional documents printed while in client meetings.  and Morningstar when needed. 
• Ensure see her delegates more information for meetings-download applications, beneficiary forms, transfer forms, compliance forms as needed and assist advisors if need any additional documents printed while in client meetings. Add PMT reports and Morningstar. 
• Track follow up to meetings- gather statements, applications as needed in order to complete business processing.  
• Manage follow up communications with clients after meetings – sending out summary letters/emails and phone calls - follow up for items required. Use Sharon bullets in box – review regularly. 
• Base appointments on segmentation list – 4,3,2,1 not only plan count and convenience and schedule for the entire year. Schedule more appointments. 
• Add docs to the calendar for all appts. in a systematic organized fashion. 
• Scheduling all wholesale lunches for 12:30 or 1:00pm when in office