What are the responsibilities and job description for the Wealth Management Associate position at TalentWealth?
At TalentWealth Recruiting we assist independent Wealth Management firms across the country in hiring top professionals to join their practices. Our client in Mequon, WI is seeking an experienced and exceptionally sharp, motivated, and detail-oriented Client Associate to join their team to lead proactive in-office support to financial advisors and assist with efficient, quality client service in a boutique office environment.
Job Summary :
Under general supervision, uses advanced skills gained through training and experience to provide proactive support to financial advisors and assist with efficient, quality client service. Follows established procedures to perform routine tasks and receives general guidance and direction to perform other work with substantial variety and complexity requiring limited decision-making responsibility. Extensive contact with internal and external clients to resolve most questions and problems and refer new or unusual issues to a higher level.
Essential Duties and Responsibilities :
- Interacts daily on the phone and in person with prospective and existing clients including handling basic inquiries and providing quotes.
- Solicits and receives orders from the Financial Advisor.
- May enter unsolicited trades at the direction of the Financial Advisor.
- May service less active accounts.
- Researches client and security information through the back office system.
- 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 new clients.
- Creates and maintains records and files.
- Ensures required client paperwork is current with firm and industry requirements, rules, and regulations.
- Maintains databases and creates reports using portfolio software programs.
- Assists Financial Advisors with marketing efforts including seminars, 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 :
Educational / License Requirements
