**Compensation - $75k plus bonus opportunities and benefits **********
Our client, a well established Wealth Management firm, with over 20 years of experience is seeking a motivated, responsible individual to perform day-to-day operational procedures for the investment business. To be successful in this role, you must possess excellent interpersonal communication skills, self-initiated follow-through, and strong organizational skills. In return, you will find this position offers flexibility, a team atmosphere, and opportunities for knowledge-based growth.
The ideal candidate possesses strong analytical skills, exceptional follow-through, well organized, conveys a sincere interest towards clients, and provides consistency in performing procedures and policies.
Responsibilities and Duties
Case Presentation
- Preparing and processing all paperwork needed for investment accounts.
- Maintaining client case files, performance reports, account forms and other paperwork required.
- Preparing all materials for quarterly and annual reviews.
- Preparing proposals and investment policy statements for advisory clients.
- Create and monitor an activities system for account follow ups and service requirements.
- Thoroughly documenting and following case notes, thought process and analysis assumptions.
- Collaborates with Advisor regarding allocation and planning strategies.
Account Services and Support
- Responding to back office inquiries.
- Ensuring compliance requirements are implemented and followed.
- Preparing client letters and other written communication as requested.
- Expedites and tracks all account transfers, rollovers and mutual fund networking.
- Control all service functions such as preparing letters instruction (e.g., asset/account transfers, beneficiary changes, etc.) for client signature, following up with clients to confirm receipt of forms or to collect outstanding paperwork for account management (BIAM forms).
- Gather internal information for the meeting with client/prospect (e.g., prospectuses, annual reports, and Morningstar reports).
- Provide securities account valuations to client and discuss account features and performance.
Client Relations
- Working with clients to complete paperwork processing.
- Provide ongoing service to clients, as needed (for investments and insurance).
- Speak with clients/prospects to complete product applications and follow-up documentation.
- Speak with clients for periodic account reviews, as appropriate.
- Complete risk tolerance questionnaires with clients; assess accordingly.
Qualifications and Skills
- Financial planning services experience.
- Comfortable with Microsoft applications, data entry and information retrieval software, as well as the ability to troubleshoot technology issues with the Advisor and the home office.
- Client service experience to include excellent oral and written communication skills.
- Demonstrated organizational skills, ability to multitask, and time management skills with ability to set priorities and meet deadlines.
- Strong attention to detail with the ability to work with a high degree of accuracy.
- Demonstrated ability to maintain effective working relationships with clients.
- To possess flexibility and camaraderie to work in a fast-paced team environment.
- Ability to shift gears with priorities when dealing with an assertive and fast paced manager.
- Able to balance the benefits of being lead, taking direction and working independently.
- Ability to maintain confidentiality.
Education and Licensing Requirements
- Bachelor's degree
- Series 6 and 63 licenses
- Series 7 required
- Life/Health Insurance license
Compensation
- $75k plus bonus opportunities and benefits
NOTE: If bringing over a book of business, compensation can be significantly increased.