Wealth Management Associate
About The Position
Wealth Management Associates provide exceptional service to clients and support Financial Advisors, Private Wealth Advisors, and their teams. As senior members of service teams, they build trusted relationships through regular client interactions and a client-first approach. The position supports areas such as digital marketing, portfolio holdings and proposal tools, and financial planning. Applicants must be legally authorized to work in the United States and must not require employment visa sponsorship now or in the future. The role requires active Series 7 and Series 66, or Series 63 and Series 65 licenses; additional product licenses may also be required. The position reports to a Business Service Officer.
Requirements
- At least 5 years of work experience in a field relevant to the position.
- Active Series 7 (GS) and either Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA).
- 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.
- Attention to detail, superior organizational skills, and ability to prioritize.
- Expert knowledge of basic personal computers, Microsoft Office (particularly 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.
- Adaptability and ability to multitask.
- Goal-oriented, self-motivated, and results-driven approach.
- Legal authorization to work in the United States without requiring employment visa sponsorship now or in the future.
Nice To Haves
- Four-year college degree or professional certification.
- Additional product licenses may be required.
Responsibilities
- Cultivate relationships with internal and external business partners and colleagues.
- Support Financial Advisors, Private Wealth Advisors, and teams in strengthening new and existing client relationships and delivering an exceptional client experience.
- Help deliver the team's client service model, including preparing for regular meetings and tracking follow-ups.
- Ensure client service functions are completed promptly and assign work to team members as needed.
- Provide backup coverage for Client Service Associate duties when requested, including money movement transactions, answering general non-investment account questions, educating or enrolling clients in digital tools, and clerically accepting or entering unsolicited or solicited orders.
- Stay current on policies, procedures, and new platforms, and share reminders and best practices with service team members.
- Help organize and execute the team's business plan in partnership with stakeholders such as Practice Strategy Consultants and Branch Management.
- Carry out administrative tasks for digital and in-person marketing strategies, including conferences, seminars, webinars, websites, social media, and regular email communications.
- Prepare and review client reports or financial plans for existing or prospective clients using firm-approved systems, when requested.
- Conduct research using firm-approved systems when requested.
- Participate in existing-client or prospective-client meetings, representing the service perspective, when requested.
- 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 and parental leave
- 10 paid holidays
- 401(k)
- Short- and long-term disability
- Potential eligibility for an annual discretionary incentive compensation award
- Potential eligibility to participate in the relevant business unit's incentive compensation plan, which may include a discretionary bonus component
- Other employee perks
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
