Associate - Wealth Management - Series 65/66

Excelsior Capital Management
Houston, USA
Competitive + Bonus
15 Nov 2022
01 Dec 2022
Job Function
Wealth Management
Industry Sector
Finance - General
Employment Type
Full Time
  • Contribute to the increased generation of advisory fee revenue by maintaining and enhancing client relationships while assisting Financial Advisors with efficient, quality client service.
  • Extensive contact with internal and external customers to identify, research, and resolve problems.
  • Interact daily on the phone and in person with prospective and existing clients including handling basic inquiries.
  • Research client and security information through the back-office system.
  • Opens new accounts.
  • Processes and follows up on client documentation for proper maintenance of accounts.
  • Prepares letters, forms, and spreadsheets to assist with servicing existing clients and prospecting for new clients.
  • Creates and maintains records and files.
  • Ensures required client paperwork is current with firm and industry requirements, rules, and regulations.
  • Maintains client information and creates reports using portfolio software programs.
  • Assists Financial Advisors with marketing efforts including seminars, mail outs, etc.
  • Receives and processes securities.
  • Participates in and receives cross-training, as well as assists with other operational functions as required.
  • Performs other duties and responsibilities as assigned.

  • General office practices, procedures, and methods.
  • Investment concepts, practices and procedures used in the securities industry.
  • Financial markets and products.
  • Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
  • Analyzing to be able to research account information.
  • Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
  • Handle stressful situations and provide a high level of customer service in a calm and professional manner.
  • Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.
  • Use mathematics sufficient to process account and transaction information.
  • Work independently.
  • Provide a high level of customer service.

Educational/Previous Experience Requirements:
  • Bachelor's degree and 1-3 years of licensed financial services industry service experience.

  • Series 65 or 66 as required by state.
  • SIE required provided that an exemption or grandfathering cannot be applied.

Compensation commensurate with experience

Medical, dental, vision, and 401K benefits

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