Service Associate

About Allworth Financial

Allworth Financial ( www.allworthfinancial.com ) is an independent investment advisory firm providing full-context wealth planning solutions. The firm brings together investment, tax, retirement, estate, and other financial considerations to help clients evaluate decisions in the context of their whole financial lives.

Founded in Sacramento, California, in 1993, Allworth Financial is a high-growth, private equity-backed, multibranch registered investment adviser. Allworth is primarily a fee-based fiduciary advisory firm that emphasizes client well-being and education. The firm continues to expand through acquisitions and organic growth.

Allworth is a great place to work and build a career. The firm ranks among the top 15 on Barron’s Top 100 RIA Firms list, has a historical client retention rate of 97%, and is a National Business Research Institute (NBRI) Circle of Excellence Award winner. Learn more at AllworthFinancial.com.

SUMMARY:

Our Service Team consistently strives for service excellence. Service Administrators work with our Service team and provide support to our Financial Advisors. This role goes beyond day-to-day client support and requires a strategic approach to managing client needs, improving service processes, and supporting our financial advisory team in delivering best-in-class financial guidance. You will bring extensive experience in financial services, excellent relationship-building skills, and a commitment to improving the client experience at every interaction.

This is a full-time, non-exempt role based out of our Walnut Creek, CA office.

DUTIES AND RESPONSIBILITIES

Strategic Client Relationship Management

Act as the primary liaison for clients, providing exceptional service and proactively addressing client needs and inquiries

Develop and nurture long-term client relationships, understanding their financial goals, preferences, and expectations

Anticipate client needs, manage escalated issues, and ensure timely and accurate communication

Work alongside advisors to educate clients on available services, online tools, and other resources to enhance their experience and engagement with the firm

Understand department workflows, policies, and procedures to submit requests correctly and timely

Leadership

Reports to the Service Team Lead, providing feedback, and mentoring associates within the Service teams

Ensure consistent, high-quality service and fostering a client-centered culture

Implement and refine client service processes to increase efficiency and enhance the overall client experience

Ensure compliance with regulatory and firm standards for client communication, documentation, and account management

Coordinate with internal teams, including advisory and operations, to resolve complex client requests and streamline service delivery

Advanced Account Management & Oversight

Ensure accurate execution of trades, account transactions, and client distributions while maintaining strong data integrity

Collaborate with custodians and back-office teams to troubleshoot issues, manage account transfers, and ensure seamless account maintenance

Operations

Ensures a seamless onboarding experience and works with clients to set a great first impression

Coordinates client appointments, processes requests received from advisors and clients

Provides notary services for client transactions

Achieves high quality and accuracy of work

Answers phone calls and emails from clients, always following up with each client's request

Prepares and processes client paperwork

QUALIFICATIONS

10+ years in the Financial Services industry, preferably at an RIA or Wealth management firm

Bachelor’s degree in finance, business, or a related field; advanced certifications (e.g., CFP®, CFA®) preferred

Strong relationship management skills

Advanced proficiency in CRM systems, custodial platforms, and financial planning software

Demonstrated leadership abilities with a track record of process improvement and client satisfaction

Excellent communication, problem-solving, and analytical skills with a high level of accuracy and attention to detail

Advanced understanding of regulatory requirements for RIAs, including familiarity with SEC and FINRA guidelines

Excellent verbal and written communication skills

Ability to multi-task and prioritize work daily with frequent interruptions

Flexible and embraces change

Strong team player and approachable

High degree of professionalism

Proficient with Microsoft Office applications required

PHYSICAL REQUIREMENTS

Works in an office environment

Requires extended periods of sitting or standing at a desk, talking on the phone, and typing

Use hands, fingers to constantly operate a computer and office equipment, such as copy machine and printer

Occasionally move about inside the office to access file cabinets, office equipment, etc.

May carry or lift weight up to 10 lbs. in very limited occurrences

BENEFITS

We value our associates’ time and effort. Our commitment to your success is enhanced by our competitive base pay and an extensive benefits package, including:

Medical: Blue Shield (PPOs and HDHP with HSA) plans and Kaiser (HMO) plans for California associates

Dental insurance with MetLife

Vision insurance with VSP

Optional supplemental benefits

Healthcare savings accounts with company contribution

Flexible spending accounts

Flexible working arrangements

Generous 401K contributions

Exempt associates qualify for our flexible paid time off policy

Non-Exempt associates will receive 15 days of paid time off annually during the first three years of employment

11 Paid Holidays

Option to participate in our Equity Purchase Program (Contract, intern, and part-time employees are not eligible)

Future growth opportunities within the company

In addition, we work to maintain the best possible environment for our associates, where people can learn and grow with the firm. We strive to provide a collaborative, creative environment where each person feels encouraged to contribute to our processes, decisions, planning and culture.

Benefits are available to full-time associates who work more than 30 hours a week.

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. Typical reporting relationships are described, but actual relationships may vary in some instances. This job description is not intended to be an exhaustive list of all responsibilities, duties, skills, or knowledge required of personnel classified in this job.

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