Our client, a well-established Wealth Management Firm, is seeking a motivated, responsible individual to perform day-to-day operational procedures for an investment business. To be successful in this role, you must possess excellent interpersonal communication skills, self-initiated follow-though, 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 monitoring 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 multi task, 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
• Life/Health Insurance license

BENEFITS:

• Parking
• 100% Medical and Dental Coverage
• Profit-sharing plan
• Education for licensing and beyond sponsored and compensated
• Competitive Vacation