Client Service Specialist
Yale Capital Corp - Saint Petersburg, FL

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Yale Capital Corp. is an SEC-registered independent investment advisor, with over $750MM under management for some thirty high-net-worth family client groups. The firm provides highly customized and tax-efficient investment advice, cash management services through a third party custodian, and master limited partnership management. The firm managers believe in semi-efficient markets, and that clients benefit primarily from sound asset allocation and tax-efficient management. Offices are located in downtown Saint Petersburg, FL and near Austin, TX with clients located throughout the United States.

The firm is seeking a detail-oriented, highly motivated individual to contribute to the firm’s Client Account Services Team. The role exists in order to support the Head of Client Services and the Compliance Manager in completing client service request and various compliance forms and filings. The position provides opportunities to learn several aspects of the investment advisory business, including human resources and accounting.

The position is located in Saint Petersburg, FL. Salary is commensurate with qualifications and experience.

Requirements:

  • At least 2 years of previous finance experience necessary
  • Series 65 license (or ability to obtain within 12 months of hire)
  • Strong knowledge of Microsoft Office Programs; and ability to learn new data management software programs as needed
  • Bachelor’s degree with focus in investments, finance, accounting or related field
  • Excellent command of written and spoken English communication skills
  • Ability to multi-task and to switch between extended-timeline projects
  • Excellent organization, communication, follow up and time management skills
  • Attention to detail critical
  • Ability to connect with clients and respond to ad-hoc service requests with accuracy and efficiency
  • Successful applicant must pass a criminal and credit background check

Client Services:

  • Act as point-of-contact for client banking requests
  • Process fed wires and journals for clients on demand
  • Regularly check client account balances and statuses
  • Data-entry of stock prices for daily client reports
  • Answer balance and account status enquiries
  • Respond to all client requests with efficiency, accuracy, courtesy and great follow up

Compliance:

  • Assist Compliance Manager with various Compliance forms and filings (daily, monthly, quarterly)
  • Maintain communication with other Yale Capital offices to ensure all marketing materials have been approved by the Chief Compliance Officer
  • Liaise with and provide appropriate data to third-party auditors as needed
  • Collect and maintain contracts the company has with external service providers
  • Proof advertising for SEC compliance (training provided) and assist with compliance duties; ensure that the office is cleared of any client sensitive information (e.g. reports and statements)

Accounting:

  • Reconcile monthly credit card bills with receipts for both offices of Yale Capital
  • Balance check book and maintain accurate log of checks
  • Maintain communication with the Texas office to ensure that all bills have been forwarded to the Florida office for payment and documentation in company ledger
  • Pay monthly rent, and other bills, for both offices and corporate apartment
  • Provide annual ledger reports to Compliance Manager
  • Work directly with outsourced accountant to provide accurate data and reports

Indeed - 18 months ago - save job - block
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