Client Relations and Servicing Representative

Who We Are:

W.I.T. Capital Management is an investment management firm that offers a variety of services and strategies including, wealth planning, portfolio guidance, estate strategies, benefit planning, tax strategies and business succession planning.  Our company culture is centered around integrity, honesty, transparency, and collaboration with a commitment to providing every client an outstanding client experience.  Our culture supports continuous learning and growth opportunities, and we believe in prioritizing open feedback to ensure everyone on our team feels heard and valued.

W.I.T has compiled an exceptional team of 7 professionals, and we are excited to find the next individual that is not just looking for a job, but a career and an interest in playing a key role in the services and experience we offer.   

Position Overview:

We are looking for a professional who has a passion for operations and enjoys building and servicing client relationships. This role is responsible for providing outstanding customer service, handling inquiries, resolving issues, processing transactions, and managing day-to day operations of the firm all while ensuring compliance and regulations are followed. Key duties include providing office support, understanding client needs, managing relationships, processing transactions, accurately responding to questions surrounding accounts, proactively enhancing processes, and adhering to all industry regulations and compliance.

Qualifications:

• Prefer 3+ years’ experience in the industry
• Proficient in Microsoft Word, Excel & Outlook
• Highly organized with ability to multi-task
• Exceptional attention to detail
• Excellent verbal and written communication
• Commitment to providing outstanding client service
• Licenses: FINRA Series 7, 66 & Life & Health
  • If not licensed, willing to get fully licensed within 6-12 months of employment

Key Responsibilities:      

• Client Relationship Management
  •  Answering incoming calls and emails
  • Coordination of client appointments
  • Ability to analyze client situations, identify potential issues and find effective solutions 
  • Prepare account reviews and reporting
  • Client appreciation events
  • Management of CRM systems / Salesforce
• Servicing / Processing
  • Process new account openings and transactions accurately and timely, including deposits, withdrawals, transfers and trade orders
  • Monitor account activity and pro-actively identify potential issues or inefficiencies and create new processes to streamline operations
  • Maintain accurate client records and documentation across CRM system and filing requirements / retention.
• Product Knowledge & Support
  • Stay up to date on all financial products and services offered by the firm
  • Ability to effectively communicate detailed information about product features, benefits and potential risks to clients

• Compliance & Regulation
  • Knowledge of current industry regulations and compliance requirements and effectively apply them in daily operations
  • Adhere to all industry regulations and compliance standards related to client information, trading activities and financial reporting.
  • Maintain confidentiality of client data and sensitive information
  • Complete required compliance training on an annual basis

Key Competencies:

• A strong inner desire to achieve and excel
• Ability to work effectively without constant supervision
• A desire to learn and understand things from different angles or perspectives
• Excellent emotional intelligence with the ability to handle sensitive situations calmly and professionally
• Demonstrates adaptability and a proactive approach to problem-solving
• Ability to stay composed and effective in high-pressure situations
• Consistently dependable and ready to support team needs