Investment Associate

The

Associate Wealth Management Advisor

provides comprehensive support in client-facing, administrative, and regulatory compliance aspects of the Investment Advisory business. They assist in preparing proposals, managing client accounts, conducting meetings, and delivering exceptional client service while ensuring adherence to industry regulations and maintaining the highest standards of professionalism.

Client Service:
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Correspond with clients to address investment-related service issues and explain technical aspects of investment strategies on Advisor’s behalf.
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Accept transaction instructions from clients and effectively communicate these instructions to the team and home office.
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Maintain a system for tracking account follow-ups and service requirements, performing cashiering functions, and running performance reports.

Processing and Trading Investment Accounts:
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Prepare and process all paperwork required for opening investment accounts, ensuring accuracy and compliance. Monitor and facilitate asset transfers and funding for investment accounts, maintaining thorough documentation.
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Implement initial and subsequent asset allocation trades according to client preferences and investment strategies.
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Execute trades, rebalance portfolios, and manage asset allocations within client portfolios to optimize performance and align with investment objectives.

Support:
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Manage case notes, process paperwork, and maintain client files to ensure accurate and organized record-keeping.
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Monitor industry trends and conduct research to stay informed about market developments.
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Ensure regulatory and compliance requirements are met and followed consistently.

Client Meetings:
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Gather necessary information for meetings with clients or prospects. Prepare and modify financial plans, investment proposals, and materials to support client meetings.
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Participate in client meetings focused on developing and presenting financial or investment plans.

Qualifications:
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Possess experience in administrative support or customer service, preferably within the financial services or insurance industry.
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Series 7 and Series 66 / 63 within first 30 days of hire.
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Health & Life Insurance licenses within first 90 days of hire.
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Manage multiple projects and assignments efficiently, prioritizing tasks as needed.
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Communicate effectively both orally and in writing, always maintaining confidentiality.

Compensation & Benefits:
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Compensation: $75,000 - $85,000 (base salary + bonus)
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Medical, Dental, Vision, Life Insurance and Disability Income Insurance
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Employer-funded retirement plan
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Sponsorship of professional licensing and credentialing

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