Wealth Management Associate Jobs

About The Position

Requirements

• Bachelor’s degree required
• Three to five years of experience
• Experience with legal, regulatory and compliance issues in the financial industry
• Possess excellent interpersonal skills - team player, able to forge relationships, build consensus, and influence decisions
• Work well under pressure and has a positive, hands-on, “can do” attitude
• Be able to devise and implement creative and innovative solutions
• Possess strong analytical and risk assessment skills as well as concise verbal and written communication skills
• Be a quick learner and self-starter, with the ability to work effectively with minimal supervision
• Can multi-task and adapt to new situations and a dynamic work environment
• Hold Series 7, 63, 9 and 10 or be willing and able to pass exams in a reasonable period of time

Responsibilities

• Monitoring and conducting surveillances focusing on compliance with regulatory and/or internal controls
• Assessing financial product and transaction suitability relating to a range of clients, ensuring strict compliance with regulations and internal policies
• Interacting with the Wealth Management business unit, Divisional Compliance, Legal and Operations teams daily
• Reviewing marketing materials that are used to pitch products and services to clients
• Advising Wealth Management business unit and teams on regulations, policies and client issues
• Participating in US Wealth Management and Global Compliance projects and initiatives

Benefits

• training and development opportunities
• firmwide networks
• benefits
• wellness and personal finance offerings
• mindfulness programs