Wealth Management Associate

Job Summary
The Wealth Management Associate is responsible for supporting the advisors of the firm, providing excellent client services and manages day-to-day operations.

Duties

§ Works together with Virtual Admin to resolve daily notifications/service requests and any outstanding issues

§ Ensures compliance with LPL and industry requirements. Maintains required compliance files and logs: Do Not Call List, Cash/Non-Cash Compensation Log, Prospectus Delivery Log, Customer Check Log, Securities Receipt Log

§ Performs new client onboarding. This includes contacting the client to set up online access, reviewing initial transaction statements, setting up follow-up meeting schedule for coming year.

§ Review cash vs distributions report with advisors and places trades as needed

§ Tracks and monitors annual state licensing, company appointments, and CE requirements for all advisors of the firm

§ Primary contact for operations and any complex account issues

§ Check deposits

§ Completes special projects as assigned by advisors

§ Responsible for new business tracking

§ Responsible for creating, updating, tracking and processing annual RMD

§ Processes all death claim paperwork

§ Processes annuity orders/trades as requested by advisors

§ Reviews incoming ACAT requests and communicates any issues with staff

§ Creates agendas and performs all pre-work and post-work for C&D clients

§ Research products for advisors

§ Runs life insurance the long-term care illustrations as requested

§ Organizes and maintains file system

§ Develops processes and workflows to create more operation efficiency

§ Performs basic client service requests such as: move money, account updates, QCD’s

§ Performs new account opening

§ Picks up and processes or disburses incoming mail

§ Schedules appointments for the advisors

§ Works with staff to ensure new account/new client processes are started and assets are invested

§ Enters data into Right Capital. Sends emails to client for Right Capital access

§ Assists Client Relationship Specialist with annuity annual income processing as requested.

§ Sends out Fedex packages or other client mailings upon request

§ Attends women networking events upon request

§ Answers phone and greets clients

§ Clean kitchen and beverage areas as needed.

Collects and removes trash from kitchen and offices as needed.

Qualifications

• Proficiency in Word, Excel, PowerPoint, Outlook, CRM software
• Working knowledge of a variety of investment tools
• Excellent verbal and written communication skills
• Ability to work independently and establish priorities
• Ability to handle multiple requests simultaneously and respond quickly
• Highly organized, with absolute attention to detail
• Excellent problem-solving abilities
• Excellent research abilities
• Excellent follow-through and communication to team members regarding status of open items
• Ability to recommend procedures and reporting to improve the effectiveness of the team
• Team player, collaborative, able to work with and through others
• Ability to project a professional image of her/himself and the firm to clients by the way in which he/she conducts himself and the quality of the work produced
• High School Diploma required. Associate degree or bachelor’s degree desired in business administration or related field
• Minimum of 5-7 years proven success in an administrative support function or supervisory position in an investment environment
• Series 7 and 66 licenses preferred but not required

Join us as a Wealth Management Associate and take the first step towards a rewarding career in finance!

Job Type: Full-time

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Paid time off
• Retirement plan
• Vision insurance

Compensation Package:

• Bonus opportunities
• Commission pay

Application Question(s):

• Please elaborate on your financial experience.
• Do you hold any FINRA licenses? (Not required)

Ability to Commute:

• Chattanooga, TN 37412 (Required)

Work Location: In person