Associate - Wealth Management - Series 65/66

Responsibilities:

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.

Qualifications:

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.

Licenses/Certifications:

Compensation commensurate with experience

Medical, dental, vision, and 401K benefits

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