Wealth Management Associate
About The Position
Wealth Management Associates provide exceptional service to clients and support Financial Advisors (FAs), Private Wealth Advisors (PWAs), and their teams. As senior members of the service team, they build trusted relationships through regular client interactions and a client-first approach. The role supports client experience and service delivery, with additional focus on digital marketing, portfolio holdings and proposal tools, and financial planning. The associate provides service coverage for an FA/PWA/team, helps organize and execute business plans and marketing strategies, and may prepare client reports or financial plans using firm-approved systems. The position also includes participation in client meetings, firm initiatives, and special projects. The role reports to the Business Service Officer.
Requirements
- At least 5 years of work experience in a field relevant to the position.
- Active Series 7 (GS) and Series 66 (AG/RA), or Series 63 (AG) and Series 65 (RA), required.
- Additional product licenses may be required.
- Strong leadership skills.
- Knowledge of financial services products, including equities, bonds, options, mutual funds, annuities, insurance, and managed accounts.
- Technical proficiency and ability to learn new and updated platforms quickly.
- Detail-oriented, with superior organizational skills and ability to prioritize.
- Expert knowledge of basic personal computers, MS Office—particularly MS Excel—and internet applications.
- Exceptional writing, interpersonal, and client service skills.
- Strong time-management skills.
- Ability to collaborate with others as a team player.
- Ability to work in a fast-paced, evolving environment; adapt and multitask; and remain goal-oriented, self-motivated, and results-driven.
- Must be legally authorized to work in the United States and must not require employment visa sponsorship now or in the future.
Nice To Haves
- Four-year college degree or professional certification preferred.
Responsibilities
- Cultivate relationships with internal and external business partners and colleagues.
- Support the FA/PWA/team in enhancing new and existing client relationships and delivering an exceptional client experience.
- Help deliver the client service model, including preparing for regular meetings and tracking follow-ups.
- Ensure client service functions are completed on time and assign daily work to team members when needed.
- Provide backup coverage for Client Service Associate responsibilities when requested, including money movement transactions, responding to general non-investment account questions, educating or enrolling clients in digital tools, and accepting or entering unsolicited orders or clerically entering solicited orders.
- Stay current on policies, procedures, and new platforms, and share reminders and best practices with service team members.
- Assist the FA/PWA/team in organizing and executing its business plan, working with stakeholders such as Practice Strategy Consultants and Branch Management.
- Execute administrative elements of digital and in-person marketing strategies as directed, including conferences, seminars, webinars, websites, social media, and regular email connectivity.
- Prepare and review client reports or financial plans from firm-approved systems for existing or prospective clients when requested.
- Assist with research using firm-approved systems when requested.
- Participate in existing or prospective client meetings as requested, representing the service perspective.
- Participate in firm initiatives, training or education programs, special projects, and other duties directed by local management.
Benefits
- Medical insurance
- Prescription drug coverage
- Dental insurance
- Vision insurance
- Health Savings Account
- Dependent Day Care Savings Account
- Life insurance
- Disability and other insurance plans
- Paid time off, including sick leave consistent with state and local law
- Parental leave
- 10 paid holidays
- 401(k)
- Short- and long-term disability coverage
- Potential annual discretionary incentive compensation award
- Potential participation in the relevant business unit’s incentive compensation plan, which may include a discretionary bonus component
- Additional employee perks
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
No Education Listed
