Job Description
POSITION SUMMARY
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Wealth Management Associates provide exceptional service to our clients and support Financial Advisor(s) (FAs)/ Private Wealth Advisor(s) (PWAs)/ teams on a daily basis. As senior members of the service team, through regular interactions with clients, individuals in this role build trusted relationships. Leading with a client first mindset, a successful candidate for this role will have strong interpersonal skills and their focus will be on delivering an exceptional client experience. In supporting Financial Advisor(s) (FAs)/ Private Wealth Advisor(s) (PWAs)/ teams, this role will focus on assisting in areas such as digital marketing, portfolio holdings and/or proposal tools and financial planning.
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DUTIES and RESPONSIBILITIES:
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Client Service:
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As a senior member of the service team, provide coverage for an FA/PWA/team including:
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• Cultivating relationships with business partners and colleagues internally and externally
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• Supporting the FA/PWA/team in enhancing new and existing client relationships by providing an exceptional client experience
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• Assisting the FA/PWA/team in delivering against their client service model, including preparing for regular meetings as well as tracking follow-ups
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• Ensuring all client service functions are performed in a timely manner, assigning work to team members on a daily basis if/as needed
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• Providing backup coverage for traditional registered or unregistered Client Service Associate responsibilities at the request of the client and/or FA/PWA/team, such as executing money movement transactions, answering general non-investment related questions concerning clients accounts, educating or enrolling clients in digital tools (e.g., MS Online), accepting or entering unsolicited orders and/or entering solicited orders in a clerical capacity
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• Remaining current on all policies, procedures and new platforms and sharing reminders and best practices with other service team members
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Business Development Support:
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• Assisting the FA/PWA/team in organizing around and executing against their business plan, partnering closely with other market stakeholders such as Practice Strategy Consultants and Branch Management
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• At the direction of FA/PWA/team, executing against all administrative elements of digital and in person marketing strategies including conferences and seminars or webinars, websites, social media and regular email connectivity
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• At the request of the client and/or FA/PWA/team, preparing and reviewing various client reports or financial plans from firm-approved systems for existing or prospective clients
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• At the request of the client and/or FA/PWA/team, assisting with research using firm-approved systems
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• At the request of FA/PWA/team, participating in existing client and/or prospective client meetings, representing the service lens
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• Participating in firm initiatives (e.g., training or education programs), special projects and/or other duties directed by local management
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EDUCATION, EXPERIENCE, KNOWLEDGE and SKILLS:
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Education and/or Experience
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• 5+ years of work experience in a field relevant to the position required
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• Four-year college degree or professional certification preferred
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• Active Series 7 (GS), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA) required
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• Experience with trading and investment research
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Knowledge/Skills
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• Strong leadership skills
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• Knowledge of financial services products, including but not limited to equities, bonds, options, mutual funds, annuities, insurance, and managed accounts
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• Technically proficient and quick learner of new and updated platforms
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• Detail oriented with superior organizational skills and ability to prioritize
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• Expert knowledge of basic personal computer, MS Office (particularly MS Excel) and internet applications
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• Exceptional writing, interpersonal and client service skills
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• Strong time management skills
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• Team player with the ability to collaborate with others
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• Ability to work in a fast-paced, evolving environment
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• Adaptable and ability to multi-task
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• Goal oriented, self-motivated and results driven