Client Operations Associate

Client Operations Associate2020-09-02T10:01:22-07:00

About the Firm

We are a local, growing independent investment advisory firm that provides engaging financial planning and investment management for a diverse client base of individuals, families, and organizations.

About the Role

This role is a professional financial services operations role. We view financial back-office operations as a career path in itself and distinct from being a financial advisor. This role is for someone who likes making things happen behind the scenes and supporting others. We are looking for someone to get comfortable in the role for the long term and be a stable anchor for both clients and advisors.

The role is responsible for coordination and completion of operational tasks in service of our clients and advisors. The primary goal is to provide a stable foundation of seamless operational execution for our clients so that their Advisors can focus on building a relationship and adding value through financial planning and investment management. In addition, the role will deliver client value directly through operational expertise and assisting both clients and advisors in navigating complex custodial and cash management situations.

This operations ninja will work as part of a team with 3-5 advisors dedicated to a group of clients. The role is expected to work closely and in coordination with the advisors. The role is also expected to interface with clients directly as necessary in a friendly and professional manner.

Duties Include

  • Interface with our custodian, Pershing, to execute custodial operational tasks such as cash management transfers, account opening, account maintenance. This workflow includes:
    • Fielding operational requests from clients and advisors.
    • Drafting the appropriate paperwork and obtaining signatures from clients.
    • Submitting paperwork and requests to Pershing for processing.
    • Monitor for exceptions and troubleshooting as needed.
  • Collaborate and communicate with advisors about client operational needs.
  • Proactively follow up with advisors and clients regarding outstanding operational needs. Shepherd tasks and ensure completion.
  • Maintain appropriate documentation and CRM recordkeeping for each client.
  • Proactively identify shortfalls and work with advisors to improve workflow, documentation and communication.

Minimum Requirements

  • Ability to work at a computer for approximately 40 hours per week during normal business hours of Monday through Friday 8am to 5pm PST.
  • We are currently in a work-from-home configuration, but we do expect to return to the office eventually. However this role is flexible and may not require physical presence in the office.
  • Fluency with the English language.
  • Ability to pass a background check that includes identity, credit, and criminal history.
  • Access to a working device capable of doing video calls for interviews.
  • Ability to provide three professional or personal references willing to speak with us.

Desired Traits

  • A natural instinct towards client service. Helping people makes you happy.
  • Willingness to collaborate and work as part of a team. You feel proud when others on your team are successful.  Compromise comes naturally, and you enjoy building on others’ ideas and having them build on yours.
  • Ability to communicate clearly and efficiently both verbally and in writing. You want to make sure you are understood and are motivated to re-orient your message as appropriate.
  • Detail oriented. This phrase gets thrown around a lot. What we mean is that you double and sometimes triple check yourself. You prefer to do things once, the right way. You take pleasure in finding mistakes in other people’s work and in amending process and training to reduce them.  You take pride in not making careless errors yourself.
  • You don’t lose things. You like checklists and to-do lists. You plan before you do.
  • Humility and a desire to learn. If you don’t know something, you don’t pretend that you do. Yet you also like to research things and being the person who does know. You ask for help when you need it. You don’t have any problem asking “stupid” questions.
  • You have a high capacity for repetition, forms, and numbers. You don’t mind doing the same tasks over-and-over.  In fact, it sounds kind of good.


  • Base salary starting at $55k – $65k per year or more depending on qualifications and experience. This is position is exempt from overtime.
  • Participation in quarterly team-based bonus pool.
  • 401k plan with 3% guaranteed firm contributions and additional profit sharing contribution potential.
  • Kaiser Medical, Delta Dental, and LTD insurance premiums 100% paid by the firm for employee and all dependents.
  • Payment for classes and study materials for professional education.
  • Three weeks of paid-time-off, ten holidays, and forty hours of service time off (temporarily not-enforced.)
  • Flex hours policy.
  • In-office chair massage every three weeks (temporarily on hold.)
  • Free lunch brought in the office every Wednesday (temporarily on hold.)
  • Gym membership credits.
  • Tax free Clipper card commuter benefit.

North Berkeley Wealth Management values a diverse workforce. Women, people of color, members of the LGBTQ community, people with disabilities, are strongly encouraged to apply.

How to Apply

Applicants should submit an email to To make it easier for us to read applications, please put your cover letter and resume in the body of the email.

The email should start with a “cover letter” message that shows you read this job description thoroughly. Again, put it in the body of the email itself, not as an attachment.

The email should then have your resume that shows pertinent qualifications for this job. Again, put it in the body of the email itself.

Download the Job Description

Rest in Peace, Justice Ginsburg

Our founding partner, Kate Campbell King, reflects on the life of Justice Ruth Bader Ginsburg, the experience of understanding loss, and how we carry her legacy with us.