Registered Wealth Management Client Associate

United States·Madisonmid

OperationsManagement

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Quick Summary

Key Responsibilities

This job is responsible for providing client service support to potentially multiple Financial Advisors (FAs). Key responsibilities include supporting enterprise strategic objectives,

Requirements Summary

Currently holds FINRA Securities Industry Essentials (SIE), Series 7, and Series 66 (63 and 65 accepted in lieu of 66) ** If these licenses are not currently held,

Technical Tools

OperationsManagement

Responsibilities

~1 min read

→Provides excellent Client Service to the bank's clients through educating them on all of the bank's service and banking offerings
→Ensures timeliness, accuracy, and completeness in client materials and follows up on all client and Financial Advisor (FA) requests
→Assists with ensuring practices are in alignment with the bank's policies and procedures to support operational excellence, protect the bank's clients, and manage risk
→Identifies, deepens, and maintains client relationships through emphasizing the bank's offerings and promoting incorporation of banking into day-to-day practices, while communicating outputs to the FA
→Supports day-to-day team activities and needs including covering roles in times of absence or seasonal need increases, while leading with a client first mindset

Requirements

~1 min read

Currently holds FINRA Securities Industry Essentials (SIE), Series 7, and Series 66 (63 and 65 accepted in lieu of 66) ** If these licenses are not currently held, they must be obtained within a specified timeframe if being hired into a registered job code.**
Possesses advanced industry knowledge and an understanding of investment products
Is an enthusiastic, highly motivated self-starter with a strong work ethic and an intense focus on results
Demonstrates a client-centric mindset, always acting in the best interest of the client
Has the ability to learn and adapt to new information and technology platforms

Has experience working with clients, quickly fulfilling their needs, delivering complex solutions, and providing an excellent client experience
Is comfortable operating in a fast-paced environment with changing and evolving responsibilities
Is detail oriented
Demonstrates a commitment to continuous learning and professional growth
Exhibits sound judgment and discretion when handling sensitive information
Strong computer application skills, including proficiency with Microsoft Word, Excel, PowerPoint, and Salesforce
Demonstrates professional verbal and written communication skills

1st shift (United States of America)