Wealth Management Associate

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Job description

The Wealth Management Associate is a client-facing role. Through a combination of marketing methods, client-management skills, and market and product knowledge, the Wealth Management Associate partners with team members to address the specific needs and service issues of high net worth clients in order to cultivate existing client relationships.

DUTIES and RESPONSIBILITIES:

• Independently improves and streamlines the service model and operational procedures for the team
• Coordinates resolution of complex issues/concerns received from the client with input from senior team members
• Identifies practice management opportunities through various firm channels
• Establishes and cultivates relationships with new clients and proactively helps to resolve issues and concerns
• Provides support on products and services
• Conducts quarterly/annual business performance reviews in conjunction with the Financial Advisor
• May utilize financial planning tools to analyze complex financial information and lead client/prospect financial planning presentations in conjunction with the Financial Advisor

Additional requirements may include:

• Develops customized presentation materials and manage performance measurements for existing accounts in order to attract new clients
• Collaborates with the Financial Advisor in developing overall business plans and marketing strategies by independently targeting prospective clients and create/plan the content of seminars
• Initiates, organizes, promotes and sets up seminars for clients and prospects on behalf of the Financial Advisor
• Independently assists clients with market and stock research
• Independently develops, implements, and communicates new procedures, products and portfolio enhancements to high net worth clients
• Coordinates enrollment campaigns/meetings for high net worth individuals/individual investors
• Assigns work to team's Client Service Associate and/or Technical Analyst, as appropriate
• Utilizes knowledge, experience, and expertise obtained through the CFP or CFA qualification process, to lead a comprehensive discovery analysis that identifies differentiating information and variables to be used in the financial planning process
• Cultivates and develops corporate relationships
• Attends seminars or client meetings with Financial Advisor and coordinates distribution of marketing presentations to clients

EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS:

Education and/or Experience

• Minimum of 5 years of post-high school education and/or work experience in a field relevant to the position required
• Four-year college degree or professional certification preferred
• Active Series 7, 63 and 65 or Series 7 and 66
• If required, maintain CFP or CFA designation
• Additional product licenses may be required

Knowledge/Skills

• Financial industry and product knowledge preferred
• Effective written and verbal communication skills
• Knowledge of applicable compliance rules and regulations and firm policies
• Able to work independently

REPORTS TO:

• Complex Business Service Officer with potential dual report to a Group Director