Financial Advisor Assistant
Financial Advisory Assistant / Client Service Associate Job Description $60k-$90k
MAP Wealth Management, a growing wealth management firm, is seeking a client service associate to assist us in our mission of helping clients achieve their financial goals.
This is your chance to play a key role in the future success of our fast-growing organization! If you are passionate, eager to succeed, and share our vision, then we would love to hear from you!
Description
The client service associate plays a crucial role in the smooth functioning of the office. With overall responsibility for day-to-day operations, the Team Leader must be able to work effectively with other staff members, clients, and the Wealth Advisors.
Responsibilities & Activities
- Communicates, implements, and ensures compliance with guidelines and policies :
- Maintains compliance policies and documentation.
- Oversees the compliance and advertising approval process.
- Oversees trading for the office :
- Places trades and rebalances accounts.
- Reviews account confirmation statements.
- Sends trading-related correspondence to clients.
- Communicates with clients in person, in writing, and over the telephone. Meets with clients to complete paperwork and attends periodic client update meetings.
- Manages new business functions :
Ø Meets with clients and starts new client forms processing.
Ø Follows up with clients as needed to make sure all paperwork is processed.
- Handles training and continuing education for the firm.
- Coordinates team meetings :
Ø Sets agenda.
Ø Disseminates minutes, resulting tasks, and timelines for completion.
- Develops and maintains written documentation (systems) of all activities.
- Performs other duties as assigned.
Knowledge, Skills, & Abilities
Requires :
Ø Excellent knowledge of the securities industry’s rules and regulations
Ø FINRA Series 7, 66
Ø Strong communication and interpersonal skills
Ø Excellent organizational and time management skills
Ø Excellent attitude and an extraordinary client service orientation
Ø Ability to handle multiple tasks and operate within tight deadlines
Ø Proficiency with Microsoft Office Suite
- At least one year of experience in a financial services firm assisting with day-to-day operations.
- A bachelor’s degree is preferred.
- Attendance is an essential function.
- Salary is commensurate with experience. $60k-$90k
Benefits
- Retirement Plan
- Health Insurance
- Professional development assistance
We offer a great working environment in a beautiful and professional downtown office location. Our culture is fast-paced, motivational, and focused on improving our client’s lives.
For more information about our company, please visit our website .
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