Client Service Associate Job Description

A Client Service Associate works in the financial industry offering their services to financial advisors and their clients. They may perform administrative duties and basic financial functions, but their main role is to assist clients. They may answer client inquiries, setup meetings between clients and advisors and contact clients with information regarding their accounts or investments.

Client Service Associates work as part of a bank or investment firm’s client service team, generally reporting to a branch manager or supervisor. According to the Bureau of Labor Statistics, Financial Clerks, which includes Client Service Associates, are expected to see a job growth of 6 percent through 2024. This will add an estimated 89,300 jobs during this period.


Client Service Associate Duties and Responsibilities

Job Duties

Client Service Associate
2014 - Present

The Colony Group

Assiting in management of routine customer requests and queries.

Preparing and documenting client details in accurate manner.

Developing reporting applications and delivery within timelines.

Coordinating with financial advisors relating to investment products and services.

The type of company a Client Service Associate works for will greatly determine their duties and responsibilities. There are, however, several common primary duties nearly all Client Service Associates can expect to perform. A review of current job listings identified the following core responsibilities.

Assist Clients

A main responsibility of a Client Service Associate is to provide assistance to an organization’s clients. This will vary depending on the type of business, but it is not unusual for a Client Service Associate to regularly contact clients through electronic means, written correspondence or on the telephone. They may discuss the client’s account with them, answer questions or arrange meetings. Client Service Associates may also handle client complaints and provide resolutions.

Handle Documents

Client Service Associates are often asked to update, maintain or access client accounts, transactions or documents. They may ensure all necessary paperwork has been received by the client and is filed properly or they may even walk a client through the document itself so there is no confusion on how to properly fill it out. They may help with the scanning and saving of documents, and they may access accounts to provide clients with updates or information regarding their latest transactions.

Perform Administrative Duties

The Client Service Associate is also called upon to carry out administrative tasks that keep the financial group operating smoothly. They may book conference rooms, arrange meetings, print reports and materials and any other tasks asked of them. Some Client Service Associates may also be called upon to assist with human resources tasks, such as payroll services and budget issues.


Client Service Associate Skills


Substantial experience in client service methods and practices.

Sound knowledge of financial markets and principles.

Comprehensive knowledge of economic accounting practices.

Familiarity with programs such as Pace and Factset.

Client Service Associates should be detailed and service-oriented workers. They must be self-motivated and possess excellent written and verbal communication skills. In addition to these traits, employers look for candidates with the following skills.

Core skills: Based on job listings we looked at, employers want Client Service Associates with these core skills. If you want to work as a Client Service Associate, focus on the following.

  • Proficient in Microsoft Office Suite programs, especially Excel
  • Adept at research practices
  • Understanding of financial markets and trends
  • Basic mathematical skills
  • Customer service experience

Advanced skills: While most employers did not require the following skills, multiple job listings included them as preferred. Add these to your skillset and broaden your career options.

  • Prior experience in a financial institution
  • Financial licensing, such as Series 7, Series 63, Series 65 or Series 66
  • Bachelor’s degree in finance or related field


Client Service Associate Resources

There are more helpful and informational resources available on the Web for those interested in becoming a Client Service Associate. We scoured the internet and found these links full of learning opportunities and the latest industry news.

On the Web

Financial Planning – This popular magazine is available both in print and in digital format and offers the latest news and trends in the financial planning world.

The Big Picture – This blog belongs to the well-known and respected strategist, Barry Ritholtz. He updates it daily with financial news and industry tips. It’s a great source for those working in the financial planning field.

Client Service Associate Books

The Complete Idiot’s Guide to Success as a Personal Financial Planner – This book provides information on financial planning in an easy to read style. It is a great resource for those looking to understand what financial planning is all about.

The History of Financial Planning: The Transformation of Financial Services – An interesting read for those interested in how the financial planning industry has changed and evolved over the years.

Industry Groups

Financial Planning Association – FPA is the United States’ largest organization for certified financial planners and those who support the financial planning process. They provide professional development and networking opportunities as well as advocate for the financial planning profession.


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