Wealth Management Associate

Securities Registration Not Required | Non-registered fingerprinted (NRF) person

The Wealth Management Associate specializes in client service and supporting the financial advisor as he focuses on building his practice and client relationships. This role also ensures the continuation of an efficient, effective and organized office. This individual is a liaison between the network office and home office as well as the financial advisor and clients. Specific responsibilities may include but are not be limited to:

• Handle case notes, process correspondence and maintain client case files.
• File new statements, account forms and other insurance/investment-related materials
• Maintain financial representative’s calendar and schedule follow-up appointments.
• Answer and direct telephone calls as appropriate
• Process client/prospect reservations for marketing events such as seminars and assist in the preparation of seminar materials and event mailings
• Maintain supplies of current insurance/ investment-related marketing materials
• Input data, print proposals and gather information at direction of the Advisor in preparation for client/prospect meeting
• Contact clients to set up follow-up meetings
• Contact clients to confirm receipt of forms or request return of completed form and maintain current client information
• Monitor Daily Status Report (DSR) and expedite any additional requirements
• Communicate with home office, NMIS and fund families to supply or obtain information
• Prepare/print letters of instruction for client signature
• Prepare policies for delivery, both in person and e-sign
• Generate lead letters and implement marketing programs

• Participate with the support of employing financial representative in various activities of the sales cycle for non-securities products
• Develop and execute cross-selling plans for non-securities products
• Contact clients, prospects and centers of influence for appointments
• Meet with clients to complete non-securities insurance related applications
• Initiate and perform sales of non-variable Additional Purchase Benefit (APB) and term conversions
• Actively participate in conservation of existing non-securities business
• Review insurance applications, conversions and policy changes for completeness and accuracy
• Arrange paramedical for underwriting
• Provide current status and account values for non-securities related accounts
• Contact and advise clients regarding late payments and other non-securities sales and service related issues
• Consult with clients on impact of changes to non-securities related products
• Process incoming non-securities related insurance service requests from clients (address changes, bank change information, loan requests and ISA service inquiries)

• Gather information for Advisor's meeting with clients/prospects (prospectuses, annual reports, Morningstar reports) and enter data into planning software (non-asset allocation components only)
• Prepare account summaries for variable and securities owners
• Print and distribute NMIS related forms to existing clients
• Review variable insurance/annuity applications, conversions and policy changes for completeness and accuracy and return to Advisor if missing information
• Review NMIS forms for completeness and return to Advisor if missing information
• Arrange medical, paramedical and any exams necessary for underwriting
• Monitor Items for Attention (IFA) and bring any action items to the Advisor's attention
• Complete order tickets and new account forms based on information obtained by Advisor
• Identify need for switch letters and discuss with Advisor
• At Advisor's direction, initiate fund/NMIS transfers, exchanges and redemption requests
• Receive and forward checks and related paperwork to the network and home office investment operation areas
• Work with network office, NMIS and fund families to resolve client account issues
• Provide account values and performance to clients at the direction of Advisor

• Health and Life licensed or gain licensing within 6 months of employment
• Financial Service or Insurance industry experience preferred
• Experience in administrative support or customer service, preferably in the financial services and/or insurance industry
• Excellent oral and written communication skills
• Familiarity with Microsoft applications and data entry and information retrieval software
• Demonstrated organizational and time management skills and ability to multitask, set priorities and meet deadlines
• Strong attention to detail with the ability to work with a high degree of accuracy
• Ability to proactively identify what needs to be accomplished and take action as appropriate
• Has interest in learning on a continuous basis
• Ability to embrace change and work in a fast-paced environment
• Ability to work both independently and in a team