Kestra Financial

Client Services Representative

• Assist in client meeting preparation and follow-up including assembling requisite paperwork, report generation, appointment scheduling and post-meeting documentation
• Manage client needs regarding processing, service, and problem resolution in a timely and accurate manner while ensuring documentation and record keeping adheres to compliance standards
• Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance
• Process, submit, and service all account paperwork/requests; follow through to completion utilizing paperless procedures (including eSignature) where available
• Assist in preparation of consolidated performance reporting on a monthly/quarterly basis
• Maintain CRM database; define and ensure adherence to appropriate client service models
• Manage multiple and competing priorities daily in pursuit of business objectives

Client Service Associate

Insurance

• Support the Lead Advisor/CFP in placing new insurance business and servicing existing client policies
• Assist in preparing, submitting, and tracking life, disability, and long-term care applications
• Coordinate medical exams, APS requests, and other underwriting requirements; communicate with carriers to resolve application or underwriting issues
• Maintain detailed and organized records of all active cases, including online file/document management
• Process client policy service requests, including beneficiary changes, billing updates, and coverage adjustments
• Update client and policy servicing information using Proformex, CRM systems, and carrier portals
• Provide professional client service via phone, email, and written correspondence; make proactive outbound calls to existing clients regarding service and case status
• Assist in preparing insurance illustrations, forms, and client review materials
• Work independently to move cases forward while collaborating closely with the firm's Client Service Associate for investments

Life Insurance Service and New Business Coordinator

Vice President

• Manage client needs regarding service and problem resolution; ensure documentation and record keeping meets compliance standards.
• Deepen client relationships and establish credibility and rapport both in-person and via phone; identify potential benefits and services for clients.
• Regular contact with clients regarding accounts and servicing; articulate complex processes and concepts to clients.
• Partner with Broker Dealer for new account establishment, account maintenance, and compliance.
• Maintain Redtail CRM database; manage client and prospective client workflow and coordinate follow-up with Advisors.
• Maintain a compliant filing and scanning system with LaserFiche.
• Answer incoming calls and direct/take messages according to firm guidelines.
• Data input for financial planning software (Goals-Based Analysis and E-Money).
• Other responsibilities as assigned by the Wealth Advisor and Director of Operations.

Wealth Associate – Vice President

• Report to the Financial Advisor and support Advisors’ time management
• Assist in client meeting preparation and follow-up including assembling requisite paperwork, report generation, appointment scheduling and post-meeting documentation
• Manage client needs regarding processing, service, and problem resolution in a timely and accurate manner while ensuring documentation and record keeping adheres to compliance standards
• Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance
• Process, submit, and service all account paperwork/requests; follow through to completion utilizing paperless procedures (including eSignature) where available
• Assist in preparation of consolidated performance reporting on a monthly/quarterly basis
• Maintain CRM database; define and ensure adherence to appropriate client service models
• Manage multiple and competing priorities daily in pursuit of business objectives
• Other responsibilities as assigned by the Senior Client Service Associate

Accounting Manager

• Lead tax operations—preparation, planning, and strategy
• Prepare and review individual and business returns
• Identify proactive planning opportunities for high-income and high-net-worth clients
• Build workflows, templates, and systems for scale
• Collaborate with financial advisors on integrated client plans
• Stay current on tax code changes and lead firm-wide application
• Prepare for future hiring and leadership as the division grows
• Actively prepare returns, craft planning strategies, and collaborate with the wealth advisory team

Director of Tax Strategy

Financial Planning and Analysis

• Manage client relations and record conversations/requests in SmartOffice
• Process distribution requests
• Maintain client records and notes in SmartOffice
• Open new investment accounts and schedule client meetings
• Utilize Advice Pay for payments and submit invoices outside of Advice Pay
• Enter contributions in Wealthscape/Assetmark and other investment platforms
• Request trading on new investments and submit SBLOC applications
• Maintain and report all investment activity on a weekly basis
• Set up bank links and monthly Periodic Investment Plans (PIP) for clients
• Assist with Maryland 529 applications and annually process Required Minimum Distributions (RMD)
• Answer phone calls and greet visitors to the office
• Schedule appointments, scan/fax/record documents, and sort mail
• Monitor investment licensure for staff by state of client
• Submit correspondence and extensions to Kestra Financial for approval
• Maintain all compliance requirements and office readiness (lobby, kitchen, supplies)
• Order and maintain office equipment, furniture, and supplies
• Perform additional responsibilities as assigned

Investment Operations

• Assist in client meeting preparation and follow-up including assembling paperwork, report generation, appointment scheduling and post-meeting documentation
• Manage client processing, service, and problem resolution timely and accurately while ensuring documentation and record keeping meets compliance standards
• Partner with Broker Dealer for new account establishment, account maintenance, and compliance
• Process, submit, and service all account paperwork/requests; follow through to completion using paperless procedures (including eSignature) where available
• Ensure adherence to appropriate client service models and firm procedures
• Manage multiple and competing priorities daily to support business objectives
• Serve as first point of contact for clients calling in; provide education, information, and excellent customer service
• Report to Financial Advisors; support back-office functioning and leverage advisors' time
• Perform other responsibilities as assigned by senior staff

• Greet clients warmly in-person and over the phone
• Provide responsive, thoughtful support for client requests and service needs
• Assist with new client onboarding and ongoing client relationship management
• Manage reception, scheduling, and phone coverage
• Prepare client files and follow up on action items from meetings
• Maintain organized and accurate digital and hard copy files
• Help support marketing initiatives and client outreach
• Assist in executing client events, mailings, and content preparation
• Work alongside advisors and the operations team to keep things running smoothly
• Take initiative on tasks and contribute to a supportive, positive office environment
• Deliver a five-star experience during every client interaction while managing day-to-day service requests

Registered Financial Advisor Assistant

• Support Lead Advisor of a large book of business including managing client needs regarding service, asset allocation, case design and financial planning
• Prepare for and follow-up on client meetings including assembling paperwork, account reviews, report generation and meeting documentation
• Consult with clients on investment strategies; deliver advice and participate in client reviews
• Manage data and plans in financial planning software
• Execute portfolio trading and investment processing with high attention to detail
• Prepare to learn technical aspects of advisor role and service clients independently
• Identify sales and asset retention opportunities and propose alternatives
• Deepen client relationships and establish credibility in person and via phone
• Clearly articulate complex concepts to clients
• Proactively communicate with clients and follow up on assigned contacts
• Manage and prioritize multiple competing priorities daily
• Engage in marketing and sales efforts on behalf of the firm (not required to build own book)
• Demonstrate professionalism, accountability, customer focus, and teamwork
• Develop centers of influence such as community involvement, CPAs and attorneys
• Other duties as assigned

Client Service Associate

Life Insurance Service and New Business Coordinator

Wealth Associate – Vice President

Client Service Associate

Director of Tax Strategy

Investment Operations

Client Service Associate

Registered Financial Advisor Assistant

Financial Planner