JOB SUMMARY

Client Service Associate & Compliance Administrator

Washington D.C. Area

 
POSITION SUMMARY

Brown | Miller Wealth Management, based in the Washington DC area, is seeking a dedicated Client Service Associate & Compliance Administrator to join our growing team. This is an exciting opportunity for candidates who have extensive experience directly engaging with compliance and client service, in the investment / financial services industry. This is a hybrid position that will be paramount to the long-term success of Brown | Miller Wealth Management. This position will be focused on providing exceptional client service to current and potential clients; accurately administer updates for complex and multi-step client accounts to include asset movements, account transfers and fostering new household relationships. By working in conjunction with the Chief Compliance Officer (CCO) this position will support all administrative aspects of regulatory and SEC compliance requirements while managing the firms risk management processes. If you thrive in a collaborative and supportive culture, deliver outstanding client experience, and are looking to advance your career with an engaged team, we look forward to hearing from you!



 
Highlights of the responsibilities of the Client Service Associate & Compliance Administrator include, but are not limited to:
  • Consistently delivers superior and proactive client service. Actively responds to incoming emails, phone calls, and requests from clients. Creates and follows own action plans/tasks based on client needs and requests.
  • Assists with active communication with clients and reaches out to correct any items needed. Keeps client aware of any longer-term project status.
  • Works with Chief Compliance Officer (CCO) and outside compliance consultant to help manage all aspects of regulatory and SEC compliance requirements and firm risk management processes.
  • Maintains compliance records through Ascendant Compliance Manager (ACM) web portal and internal records for exam/audit purposes, and proactively identifies and corrects compliance issues and inconsistencies.
  • Assists with updates, maintenance, and tracking of proprietary asset allocation models and strategies.
  • Implements investment strategies and processing through Fusion trading and portfolio management platform.

 
Required Qualifications:
  • College level coursework is required (Bachelors’ degree preferred) in conjunction with a financial industry professional license/ designation: Series 7 & 66, 65, Investment Advisor Representative, CFP, or CFA.
  • A minimum of five (5) years of investment/financial industry experience working in client services and a knowledge of financial industry compliance.
  • A clean compliance history and industry track record of success in client service and compliance operations.

 
Our Ideal Candidate brings the following:
  • Self- motivated with a drive towards service and operation excellence; displays a positive attitude through all client and internal interactions.
  • Possesses a genuine interest in serving and caring for clients and enjoys working with other professionals in a supportive team environment.
  • Takes ownership and responsibility around Brown | Miller's client service mission and contributes wherever needed.
  • Excellent oral, written, and interpersonal communication skills; well-spoken both on the phone and in person.
  • Professional demeanor, a pleasant personality, open minded, and patient.
  • Advanced computer skills including MS Office Suite required.

 
Benefit Offerings:
  • Competitive base salary with opportunities for advancement
  • 401k: 4% match with additional discretionary profit sharing
  • Comprehensive medical and dental insurance
  • Long-term disability insurance
  • Paid Time Off and Paid Holidays following the NYSE observed holidays schedule

 
More About Brown | Miller Wealth Management

The Brown | Miller Wealth Management team has been providing financial advisory services to clients for over 25 years. We specialize in working with high net-worth individuals, businesses, endowments, and foundations to help them simplify their complex financial needs. Our highly regarded wealth management team built their clientele during their time working for A.G. Edwards and Sons, Wachovia Securities, and Wells Fargo Advisors before launching their independently owned practice, Brown | Miller Wealth Management, LLC.

At Brown | Miller Wealth Management, our mission is to be an industry-leading wealth management firm providing clients with exceptional advice and service. Our team works collaboratively to deliver excellence in every aspect of the client experience. We strive to be recognized as a client-centric practice providing objective and independent advice, service, and solutions always in the best interest of our clients.


 
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