Investment Associate

Job Description

• Work with Investment Services Managers in the managing of the overall relationship of assigned managed agency accounts.
• Represent Wealth Management in various business activities and maintains contacts with clients, administrators, trustees, co-trustees, beneficiaries, attorneys, and others regarding accounts.
• Work closely with portfolio managers, advisors, and others in providing high quality service and ensures compliance with all statutory requirements.
• Process fund transfers, wires, checks, transfers to and from accounts and ACH. Administration of IRAs.
• Prepare client portfolio review books for Advisors.
• Process of client account maintenance requests. Ad hoc requests (i.e. requests for statements, 1099's, copy of trade confirmations, etc.).
• Assist Investment Services Managers with the annual confirmation of investment objectives.
• Assist Investment Services Managers with various compliance reports such as anticipated fees, investment change verification, zero balance accounts, accounts not scheduled for events, etc.
• Prepare custom client reporting.
• Maintain all appropriate training and continuing education requirements for both internal programs and external licenses and certifications.
• Comply with the regulatory requirements as well external and internal auditors and the WMS Compliance Officer.
• Assure that trust policies and procedures coincide with division and bank objectives

Skills:

• FINRA Series 7
• 3 years of experience in an investment management or trust environment
• 2 years of experience in a financial services organization
• 2 years of experience with Microsoft Office (Word, Excel, PowerPoint, Outlook) Skills and Knowledge
• Excellent organizational and problem-solving skills
• FINRA Series 66 preferred
• Experience with SEI’s Trust 3000 Trust Accounting System or Wealthscape preferred
• Proficient with Microsoft Office (Word, Excel, PowerPoint, Outlook)
• Excellent verbal and written communication skills
• Bachelor’s degree in business, Finance or related area preferred, or equivalent 1 to 3 years' work experience.

Education:

Bachelor’s degree in business, Finance or related area preferred, or equivalent 1 to 3 years' work experience