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FLSA Classification: Exempt

Reports to: Provenance Advisory Manager

Date: 09/01/2025

JOB SUMMARY

The Senior Client Success Associate plays a critical role in providing high-level administrative and operational support to Financial Advisors while leading client service initiatives. This position is responsible for ensuring an exceptional client experience, mentoring junior team members, and driving execution of the firm’s global planning process. By overseeing service workflows and resolving complex client issues, the Senior Associate enables advisors to focus on strategic relationship management and client-facing responsibilities.

DESCRIPTION

Technical Responsibilities

• Prepare, process, and follow up on account documentation including new account paperwork, licensing forms, applications, and investment proposals.

• Maintain and update client and investment files; generate reports, summaries, and spreadsheets.

• Manage account functions and requests in CRM, and other custodial systems (e.g., transfers, titling, address changes).

• Coordinate insurance and investment illustrations; handle policy changes and follow-ups, including EFT updates, lapse notices, and premium communications.

• Coordinate and track estate planning document execution, including handling tax identification follow-up.

• Use systems to manage annuity orders and research security/client information.

• Create and issue engagement letters and financial planning invoices.

• Prepare review materials and manage review calendars for clients without an Investment Advisor assigned.

• Support portfolio review coordination and proposal preparation.

Client-Facing Responsibilities

• Serve as the initial and ongoing point of contact for clients and prospects.

• Respond to all incoming client inquiries via phone and email in a timely and professional manner.

• Onboard new clients and ensure a seamless setup experience.

• Schedule and coordinate client, vendor, and prospect meetings, including insurance exams and estate planning document signings.

• Provide high-touch customer service, resolving client problems with urgency and attention to detail.

• Liaise with external advisors (attorneys, accountants, insurance coordinators) to facilitate comprehensive client solutions.

• Follow up directly with clients on outstanding items related to financial planning, insurance, investments, etc.

Team Responsibilities

• Lead and mentor Client Service Associates; provide training and guidance on systems and procedures.

• Collaborate with Financial Advisor team weekly to review service opportunities, pipeline, and meeting preparation.

• Partner with internal coordinators on insurance and investment tracking and ensure aligned service delivery.

• Promote a culture of accountability by meeting agreed-upon deadlines and reporting progress regularly.

• Model professionalism, service excellence, and operational precision as a senior member of the team.

Work environment

• This role is based in a professional office environment and routinely uses standard office equipment such as computers, phones, and photocopiers.

• Occasional travel may be required to attend meetings, conferences, and client engagements.

• The role requires the ability to manage multiple priorities and work in a fast-paced, dynamic environment.

• The role requires the ability to maintain strict confidentiality regarding sensitive company and client information.

Education/Experience

• Associate or bachelor’s degree preferred.

• 5–7 years of experience in financial services, with a strong understanding of wealth management and annuity processes.

• FINRA Series 7 license required or equivalent experience.

• Florida 2-15 Insurance license preferred or equivalent experience.

• Proficiency in Microsoft Office (Excel, Word, Outlook, PowerPoint).

Affirmative Action/EEO Statement

Provenance Wealth Advisors is an equal opportunity employer and is committed to fostering a diverse and inclusive workplace. We are dedicated to the principles of equal employment opportunity and affirmative action, and we encourage applications from all qualified individuals regardless of race, color, religion, gender, sexual orientation, national origin, age, disability, veteran status, or any other protected characteristic. We believe that a diverse workforce enriches our organization and enhances our ability to meet the needs of our clients and community.

If you like wild growth and working with happy, enthusiastic over-achievers, you'll enjoy your career with us!