WM Affluent Associate

• Provide sales, processing, operational, administrative and customer service support to Investment Relationship Managers
• Make and track appointments
• Prepare investment proposals, reviews and routine correspondence
• Organize paper flow according to firm record-keeping requirements
• Maintain client files and supplies
• Answer phones and open and disseminate mail
• Assist with business development at the direction of Investment Relationship Managers
• Meet with existing or new prospects
• Contact existing clients to review current relationships
• Plan and coordinate marketing campaigns and business development seminars
• Meet with internal departments to discuss joint business initiatives

• High school diploma or equivalent
• Five or more years of investment industry experience preferred
• FINRA SIE, Series 7, Series 63 and 65/or 66 registrations
• Life, variable life, health and disability licenses
• Strong knowledge of the financial services industry, specifically investment advisory and brokerage services, internal policies, procedures, and associated regulatory requirements
• Experience with brokerage industry policies, processes and procedures, FINRA and SEC regulatory standards and applicable regulatory bodies
• Deep understanding of the Wealth Management Advisor's business model, needs, key drivers and sales process
• Considerable knowledge of internal administrative, compliance and operational procedures
• Strong communication, organization, problem-solving, prioritization, follow-up and relationship-building skills

Demonstrates expertise in investment advisory and brokerage services, with a strong understanding of regulatory requirements and compliance procedures. Capable of providing comprehensive administrative and customer service support while effectively coordinating business development initiatives.

• Investment Industry Experience
• FINRA SIE Registration
• Series 7 Registration
• Series 63 Registration
• Series 65/66 Registration

• Investment Proposal Preparation
• Client File Management
• Appointment Tracking
• Marketing Campaign Coordination
• Business Development Support

• Strong Communication Skills
• Organizational Skills
• Problem-Solving Skills
• Relationship-Building Skills
• Prioritization Skills

• Life License
• Variable Life License
• Health License
• Disability License

• Financial Services Industry
• Investment Advisory
• Brokerage Services
• FINRA Regulatory Standards
• SEC Regulatory Standards
• Wealth Management Advisor
• Compliance Procedures
• Operational Procedures