Los Angeles Metropolitan Area
CLIENT RELATIONSHIPS & WEALTH MANAGEMENT PROFESSIONAL Detailed -oriented financial services professional with extensive experience in client relationship management, wealth administration, regulatory compliance, and operational excellence. Proven ability to support advisors, strengthen client trust, streamline onboarding, and enhance service deliver in fast paced wealth management environment.
* Collaborate with Advisor and managed portfolio of 150+ high-net-worth mass affluent client accounts, service as primary point of contact for service request and account inquires. * Built long-term client trust through proactive communication, timely follow-ups and personalized service solutions. *Partnered with financial advisors to prepare client review materials and performance reports * Ensure full compliance with SEC, FINRA and firm policies through accurate documentation and audit-ready recordkeeping.
Client Service Associate/Financial Operations Specialist *Provided daily support to financial advisors and relationship managers across investment and planning services. *Processed account maintenance requests, transfer and compliance documentation with 99% accuracy. *Delivered high-quality services to clients through phone, email and in-person insteractions.
Administration of 401(k) Plans and year end 5500 Annual Valuation Conducting trades for distribution and RMDs requirements Monthly trading for model allocations Quarterly Fees trading and allocations Opening and Closing Accounts Special projects
Operations- Assisting Financial Advisor with trade settlements, clerical, etc.