Wealth Relationship Officer
About The Position
The Wealth Relationship Officer is a securities-licensed role supporting Wealth Relationship Managers (WRMs) and registered securities representatives across banking and wealth servicing activities. This role increases WRM client-facing capacity by taking on process and administrative activity while keeping service quality high. You will enter trade orders and open new client accounts with the direction of the registered representative. Success means clients can reach the right support quickly, inquiries are resolved efficiently and WRMs have more time to focus on acquisition, cross sales, retention and portfolio growth. The role does not provide securities recommendations to clients.
Requirements
- FINRA Series 7 and 63 licensing required
- SIE, Life and Health insurance licenses or may be willing to sponsor
- Experience with financial services or banking
- Knowledge of brokerage products and services plus the operations and regulations that support their delivery
- Knowledge of Anti Money Laundering and relevant US regulatory governance in day-to-day activities
- Experience with relationship management systems such as CRM and RM platforms
- Understanding of core products including the Premier proposition and retail and wealth product processes
- Follow local and Group compliance regulations and appropriate operational procedures
- Fluency in Mandarin is required to effectively support our target client base
Responsibilities
- Provide high-quality sales support to an individual or team of Wealth Relationship Managers
- Reduce process and administrative workload for WRMs to increase time available for client meetings and higher value activity
- Support WRMs across the banking portions of their assigned client portfolios
- Manage day-to-day client contact and servicing including answering client calls in the WRM’s absence and resolving transactional inquiries
- Facilitate smooth hand-offs to the right channels where appropriate to meet client needs
- Prepare and complete sales documents plus manage data input and report generation to support licensed sales activity
- Liaise with internal support functions to progress client purchase process requirements through to completion
- Enter client trade orders and open new client accounts with the direction of a registered securities representative
Benefits
- tailored professional development opportunities
- competitive pay and benefits package
- robust Wellness Hub
- welcoming and inclusive work environment
- industry-leading volunteerism policy
- generous matching gift program
- comprehensive program of immersive Sustainability and Climate Change Initiatives
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
