Senior Investment Associate

What is the opportunity?

The Legacy Oak Wealth Management Group is seeking an experienced Senior Investment Associate with Series 7 and Series 66 (or Series 63/65) licenses required on day one. The ideal candidate will be a client-oriented professional with strong communication skills, exceptional organizational abilities, and proficiency in Microsoft Office Suite and Salesforce.

The Legacy Oak Wealth Management Group is seeking an experienced Senior Investment Associate with Series 7 and Series 66 (or Series 63/65) licenses required on day one. The ideal candidate will be a client-oriented professional with strong communication skills, exceptional organizational abilities, and proficiency in Microsoft Office Suite and Salesforce.

We are looking for a self-starter who combines creative problem-solving with dependability, possesses strong time management and multitasking capabilities, and demonstrates patience and discretion when managing client relationships and anticipating their needs. The successful candidate will be a collaborative team player who understands (or quickly gains the knowledge for) RBC's operational structure and chain of command, proactively identifies potential friction points in client interactions, and maintains a flexible, professional approach in a fast-paced wealth management environment.

Bond market knowledge a plus.

• Partner with FA to prospect for new clients using various techniques such as cold calling, asking for referrals, executing mailings and marketing materials, making presentations and conducting networking forums.
• Identify business development opportunities with the goal of increasing revenue, enhancing client relationships and streamlining day-to-day processes.
• Provide a high level of service to clients by understanding needs their investment objectives, tolerance for risk, financial situation and by promptly responding to their needs.
• Research and review investments to meet clients’ investment goals.
• Enter trades, open new accounts and gather assets
• Research complex problems in accounts and deliver an effective and acceptable resolution.
• Assist others in the branch by acting as a resource in the areas of training, coaching and mentoring.

• 5+ years of Registered Client Associate experience or related industry experience
• Series 7 and 66 (or 63/65) plus state licenses or ability to promptly become registered in states consistent with those of FA
• Advanced understanding of the stock market, investments and retirement plans and working knowledge of fixed income products, equities, mutual funds, insurance, annuities and applicable compliance rules and regulations
• Computer proficiency
• Strong customer service skills with the ability to continually maintain and build relationships, attention to detail, outstanding written and verbal communication and problem solving skills, and ability to navigate multiple demands in a fast-paced, deadline-oriented environment

• Bachelor’s degree
• Salesforce experience
• Knowledge of Money Guide Pro planning software

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
• Leaders who support your development through coaching and managing opportunities.
• Ability to make a…