Investment Specialist

Investment Specialist

Bunting and Somma is a locally and nationally recognized financial planning practice. We serve successful families and individuals using a high-touch, client focused service model through our team of Financial Advisors and staff. For over 40 years, our practice has been dedicated to client satisfaction, thoughtful financial planning and tailored investment strategies that evolve with our client’s needs.

The Employee Experience

Our firm is growing through strong referrals from clients, as well as our success in helping retiring Advisors transition their clients to a team who will care for them over the long-term. This growth is creating opportunities for members of our team to learn, grow and accept new challenges. Delivering an exceptional client experience is our mission and we expect members of our team to utilize their strengths working collaboratively with team members to deliver on this promise. Bunting and Somma values the ongoing education of its team members and provides monetary support for licensing and costs associated with obtaining designations such as the CFP, CRPC and CFA.

Position Description and Responsibilities

The Investment Specialist is a dedicated role within an Ameriprise Private Wealth advisory practice. , and the person will primarily assist financial advisors in the team’s investment management workflow. This role provides client relationship support through trading responsibilities and working with colleagues and clients to streamline the practice’s overall investment management process. Our practice maintains a fluid client service model providing customized investment advice with a focus on ongoing, comprehensive financial planning.

The person in this role must consistently follow high standards of business and professional ethics, as well as legal and regulatory requirements.

Candidates should have a strong interest in becoming a Financial Advisor and providing advice to clients on both financial planning and investment topics. They should be interested and take responsibility for both the service and growth aspects of the business. This position is designed to evolve into the role of Financial Advisor with full responsibility for leading all aspects of client relationships, and advice.

Responsibilities of the Investment Specialist include:

Construct custom client investment portfolios

• Execute securities trades at the direction of team financial advisors
• Work with clients and advisors to facilitate cash transactions and money movements
• Review client-specific portfolio allocations and identify opportunities for diversification and rebalancing
• Collaborate with advisors to create investment recommendations, monitor model portfolios and track performance of various equities, mutual funds, Exchange Traded Funds and other investments

Participate actively in client meetings and marketing events

• Capture and document recommendations and key decisions
• Document conversations with clients and any necessary compliance topics
• Communicate planning and investment topics with clients as skills develop. Our goal is for the Investment Specialist to develop the ability to run an entire client meeting with the lead Advisor providing minimal support.

Analyze client situations in preparation for comprehensive client meetings

• Create illustrations for education, insurance, tax and estate planning topics using Ameriprise proprietary tools
• Research client-specific planning opportunities, identify potential solution and prioritize execution

Implement client opportunities with exceptional service

• Answer client questions and provide readily available information to clients (as allowable), as it relates to servicing their financial accounts
• Assist clients independently with implementation of specific planning and investment strategies. Communicate in-person, by video, by phone, and by email depending on circumstances.
• Support periodic campaign-style outreach to clients based on market volatility and relative asset class valuations
• Coordinate administrative topics for clients by providing clear direction to the support team and outside professionals (CPAs, estate planning attorneys, mortgage bankers, insurance professionals, and third-party administrators)

Qualifications

• Undergraduate degree required
• 2 years professional work experience required
• FINRA Series 7, Series 66 and applicable insurance licenses required
• Professional designation (CFA, CFP, CPA, APMA) or Masters in related field ideal but not required
• Experience using Thomson ONE software (or similar trading platforms), Morningstar and Salesforce preferred
• Outstanding verbal, written and listening communication skills
• Ability to learn quickly, stay organized, manage time, and follow through on tasks to completion

Projected Annual Salary Level: $75,000 - $85,000 annual salary with bonus opportunities.

Job Type: Full-time

Pay: $75,000.00 - $85,000.00 per year

Benefits:

• 401(k)
• Paid time off

Schedule:

• Monday to Friday

Supplemental Pay:

• Bonus opportunities

Education:

• Bachelor's (Preferred)

Experience:

• Financial planning: 2 years (Required)

License/Certification:

• Series 7 (Preferred)

Ability to Commute:

• Southport, CT 06890 (Required)

Work Location: In person

Salary : $75,000 - $85,000