Wealth Management Associate

Wealth Management Associate

Requirements

• 5+ years of work experience in a field relevant to the position required
• Four-year college degree or professional certification preferred
• Active Series 7 (GS), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA)
• Additional product licenses may be required
• Effective written and verbal communication skills
• Knowledge of financial industry and investment products preferred
• Strong understanding of applicable compliance rules, regulations and firm policies
• Able to work independently and effectively on a team
• Demonstrates leadership skills
• Strong computer skills, including knowledge of Microsoft Office (Word, Excel and PowerPoint)
• Detail-oriented with superior organizational skills and ability to prioritize tasks
• Ability and interest in working in a fast-paced, evolving environment

Responsibilities

• Establishes and cultivates trusting relationships with new and existing clients, proactively helping them understand their investments and planning strategies, often with guidance and input from team members
• Assists Financial Advisors / Private Wealth Advisors in the development and delivery of financial and investment strategies that aim to address each client’s specific goals and concerns
• Leads a team-wide effort to organize, streamline and enhance a client experience that emphasizes value, service and attention to detail
• Thoroughly understands and utilizes the firm’s financial planning tools to analyze complex financial information and lead presentations in partnership with the Financial Advisors / Private Wealth Advisors
• Prepares performance reports and other data for clients that may involve evaluating account performance, analyzing investment portfolio holdings and generating quarterly investment performance monitors
• Provides ongoing support in educating clients about specific products and services offered at the firm
• Develops presentation materials and proposals to assist Financial Advisors in cultivating new business opportunities
• May participate in or conduct client meetings with or on behalf of the Financial Advisors / Private Wealth Advisors
• Works with clients on the execution of orders in Brokerage and Advisory accounts
• Assists clients with market and stock research
• Designs and produces strategy reports and other types of communications for Financial Advisor / Private Wealth Advisor to use with clients and prospects as part of the overall marketing initiative
• Conducts quarterly/annual business performance reviews in partnership with the Financial Advisor / Private Wealth Advisor
• Manages events, webinars and seminars by organizing, marketing and setting up the venue in collaboration with the Financial Advisor / Private Wealth Advisor
• Develops customized presentation materials and manages performance measurements on existing accounts to market and attract new clients
• Collaborates with the Financial Advisor / Private Wealth Advisor to develop an overall business plan and marketing strategy that may include targeted events and customized seminars
• Develops, implements and communicates enhanced service protocols and new procedures, products and portfolio enhancements to existing clients
• Identifies and implements practice management opportunities by interfacing with various departments across the firm
• Coordinates enrollment campaigns/meetings for existing clients
• Assigns work to team’s Client Service Associate as appropriate
• Cultivates and develops relationships with business partners internally and externally
• Provides tailored recommendations to the Financial Advisor / Private Wealth Advisor about specific client situations and opportunities to consider
• Proactively participates in firm initiatives directed by local management

Preferred Qualifications

• Knowledge of financial industry and investment products preferred