Client Service and Operations Specialists primary responsibility will be to independently execute and

manage all custodial servicing requests. The successful candidate will have a can-do attitude, strong

technical and problem-solving abilities, and the ability to take ownership of assignments and work

independently or as part of a small team. The Specialist will report directly to the firms COO.

A minimum of 3 years experience in a similar role with a registered investment advisor, broker-dealer,

or other type of wealth management/retail asset management firm is required.

Responsibilities:

Independently prepare, submit, and track custodial paperwork at Charles Schwab & Co

(Schwab) for all servicing requests including opening new accounts, moving money, asset

transfers, estate administration, beneficiary changes, etc., and perform similar duties for the

firms own forms.

Track status of all outstanding service requests, following up with internal and external

stakeholders until resolution.

Utilize Salesforce to update/track assigned cases, manage tasks and workflows, add/maintain

records, and other items.

Process client cash requests and assist with other tasks using custodial platforms.

Client-facing communications to validate requests, provide instructions and status updates,

troubleshoot client login or technology issues, and similar service requests.

Handle all firm-related inquiries, questions, and issues regarding Schwab services and offerings.

Coordinate with CPAs, attorneys, and other professionals as needed to service mutual clients.

Other client servicing, operational, and administrative functions such as data entry, electronic

file database management, correspondence, occasional mailings, research, file sharing, calendar

management, answering phones, and other ad hoc or ongoing items assigned.

Ongoing compliance-related reporting, reviews, and document collection for recordkeeping

Assist COO in implementing various compliance-related policies and procedures, including

taking ownership of certain elements as assigned.

Experience supporting multiple professionals and comfortable working with others in a virtual

environment.

Identify, follow, create, and update written procedures and workflows.

Other special projects as assigned.

Qualifications

3+ years experience in a similar role at an investment firm is required (preferably a

investment advisor)

College degree strongly preferred.

Excellent communicator, both verbally and in writing and comfortable speaking with clients

Critical thinking and problem-solving skills required; comfortable following specific

or directions and working backwards from stated end goals with limited direction.

Impeccable organizational skills, attention to detail, and ability to quality check ones work for

accuracy

Ability to multi-task, work independently, and proactively manage assignments to completion

within deadlines.

Must be technically savvy and comfortable taking directions and working with multiple

technology platforms and software systems on a regular basis.

Proficient in Microsoft Word, Excel, Outlook, PowerPoint, Zoom, and Adobe Acrobat

Adaptable collaborator

Knowledge of Salesforce, Schwabs Advisor Center, Black Diamond, and DocuSign a plus

Work location and Hours

Position is 100% remote. Must demonstrate private and secure at-home workspace.

Compensation and Benefits

Compensation will be determined based on experience. The successful candidate will be eligible to

contribute to the company 401(k) plan immediately, and after meeting the plan requirements, will be

eligible for an employer contribution equal to 3% of pay regardless of participation status. Employerpaid

short-term and long-term disability insurance will be provided.

Any offer of employment will be contingent upon satisfactory background screening, identity

verification, and multiple reference checks.