Wealth Relationship Officer
About The Position
The Wealth Relationship Officer provides licensed sales support to registered securities representatives and Wealth Relationship Managers (WRMs), including entering trade orders at a registered representative’s direction. The role supports both banking and wealth services for assigned clients, helps manage day-to-day client contact and service, and reduces WRMs’ administrative workload so they can focus on client-facing activities, acquisition, cross-sales, retention, and portfolio growth. The officer is a client contact point when the WRM is unavailable and helps connect clients with appropriate channels. The role does not provide securities recommendations to clients.
Requirements
- Series 7 and Series 63 licenses are mandatory.
- Life and Health insurance licenses are required.
- Must be registered or obtain approval for registration in the states where the registered representative will conduct business.
- Good experience in the financial services industry.
- Knowledge of brokerage products and services, their supporting operations, and applicable regulations.
- Knowledge of anti-money-laundering requirements and relevant U.S. regulatory governance.
- Strong interpersonal and responsiveness skills, good decision-making, and ability to deliver.
- Understanding of core products and the Premier proposition, and familiarity with retail and wealth product processes.
- Understanding of relationship management systems, including CRM and RM Platform.
- Solid understanding of appropriate branch operational procedures.
- Knowledge of local and Group compliance regulations.
- Ability to deliver a high-quality client experience and needs-based solutions through effective communication.
Nice To Haves
- Previous experience in Retail/Premier Bank sales.
- Mandarin language skills.
Responsibilities
- Provide high-quality sales support to an individual Wealth Relationship Manager or a team of Wealth Relationship Managers.
- Reduce WRMs’ time spent on process and administrative tasks, increasing their capacity for client-facing and higher-value activities.
- Support WRMs with the banking portions of their assigned portfolios.
- Support client contact and service, including answering client calls in the WRM’s absence, resolving transactional enquiries, facilitating hand-offs to appropriate channels, and managing key event reminders.
- Prepare and complete sales documents, manage data input and report generation, and liaise with support functions to follow through on client purchase process requirements.
- Support WRMs in delivering service and support for banking and wealth products and in achieving their business plans.
- Maintain regular contact with clients regarding their accounts under the direction of a registered securities representative.
- Enter client orders and open new client accounts at the direction of a registered representative.
Benefits
- Tailored professional development opportunities.
- Competitive pay and benefits package.
- Wellness Hub.
- Welcoming and inclusive work environment.
- Industry-leading volunteerism policy.
- Matching gift program.
- Sustainability and Climate Change Initiatives.
- Employee Resource Groups and networking opportunities.
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What This Job Offers
Job Type
Full-time
Education Level
No Education Listed
