Kestra Financial Client Operations Specialist in San Jose, California

We are an independent, established wealth management firm looking for a full time Client Operations Specialist to join our team in San Jose’s vibrant downtown Willow Glen. The ideal candidate will be able to interface seamlessly with our team as well as facilitate brokerage activities to complete financial transactions in a compliance environment. The Client Operations Specialist’s primary role will be to support the advisors in their daily interaction with the firm’s clients. He/she will have a unique opportunity to learn and grow within an intimate boutique wealth management firm.

Essential Duties and Responsibilities:

  • Support primary financial advisors and provide service to the firms’ 150+ client households

  • Responsible for appointment preparation and post-appointment follow up for new and current clients – including assembling the required paperwork and forms, account reviews, and post appointment logs and data entry into financial planning software

  • Ensures that all assigned activities are executed in a timely and accurate manner, and that all documentation is maintained to compliance standards

  • May independently meet with clients to perform account opening procedures and obtaining appropriate signatures while also being able to answer basic questions regarding paperwork

  • Handles various administrative functions for the advisors such as opening new accounts, acquisition and transfer of assets, splitting of assets as a result of divorce or death

  • Manages and performs ongoing periodic projects (client events, analysis/recommendations of new potential software, coordinate with vendors)

  • Analyzes client information and preparing reports/presentations (strong use of Excel and Word)

  • Proactive follow up with clients on firm’s action items from client review meetings

  • Interfaces with the broker/dealer and custodian to obtain information and account data and convey service requests, fill out necessary forms and perform routine tasks

  • Maintains and updates pertinent client information in the CRM system (Redtail)

  • Sets up and retrieves reports in the portfolio management systems (Envestnet & Albridge)

  • Proactively maintain professional appearance of the office areas and greet clients with genuine positive attitude

  • Organization and maintenance of physical and electronic files

  • Inputs checks received into the blotter and on client posting sheets

  • Acts in concert with our team to develop strong professional client relationships



  • College degree required

  • 3 years minimum work experience

  • Experience working directly with a Financial Advisor (or within the financial services industry) strongly preferred

Skill Set:

  • Skilled communicator, both verbal and written, with both colleagues and clients

  • Ability to work independently within team structure, exercise good judgment and meet deadlines with minimal supervision

  • Proficiency in servicing and enhancing professional client-advisor relationships

  • Detail-oriented, accurate and consistent (mistakes cost the firm measurable fees)

  • Adaptable multi-tasker that consistently takes initiative

  • Ability to thrive in fast-paced environment

  • Knowledge of Redtail CRM systems a plus

  • Must have experience using Outlook and demonstrate intermediate to advanced knowledge of Microsoft Office functions

  • Ability to run math calculations in their head with confidence

  • Able to quickly master the general tools of the profession such as financial planning software, analytical tools and broker/dealer or custodian web-based systems


We are an active, innovative and tight-knit team that likes to break up the afternoon with a game of in-office foosball. We have a professional and open workspace located in the heart of downtown Willow Glen. We offer a comprehensive compensation package commensurate with experience, skills and licensing. Benefits package includes 11 paid holidays, PTO based on tenure, 401k (with company matching), group disability, group life, group vision and dental.

If you would like to be considered for an interview, please call 408-380-7407 and follow the instructions.