Job Number:

Posting Date

Primary Location

Job

POSITION SUMMARY

DUTIES and RESPONSIBILITIES

Client Support:

• Establishes and cultivates trusting relationships with new and existing clients, proactively helping them understand their investments and planning strategies, often with guidance and input from senior team members
• Assists Financial Advisors / Private Wealth Advisors in the development and delivery of financial and investment strategies that aim to address each client’s specific goals and concerns
• Prepares performance reports and other data for clients, that may involve evaluating account performance, analyzing investment portfolio holdings, and generating quarterly investment performance monitors
• Engages in interactive dialogue with clients and prospects to determine investment objectives, current portfolio status, risk tolerance, and other information necessary to craft comprehensive financial strategy in conjunction with the Financial Advisor / Private Wealth Advisor
• Works with clients on the execution of orders in Brokerage and Advisory accounts
• Assists clients with market and stock research
• Develops Statement of Investment Policy Statements for clients in coordination with Financial Advisor / Private Wealth Advisor
• Manages events, webinars and seminars by organizing, marketing and setting up the venue in collaboration with the Financial Advisor / Private Wealth Advisor

Business Development & Operational Support

• Designs and produces strategy reports and other types of communications for Financial Advisors / Private Wealth Advisors to use with clients and prospects as part of the overall marketing initiative
• Synthesizes client/prospect data to develop customized financial plans/asset allocation proposals utilizing the Firm’s proprietary software tools; May lead presentations in partnership with Financial Advisors / Private Wealth Advisors
• Leads a team-wide effort to organize, streamline and enhance a client experience that emphasizes value, service and attention to detail as well as develop, implement and communicate new procedures, products, and portfolio enhancements for clients
• Identifies and implements practice management opportunities by interfacing with various departments across the firm
• Develops presentation materials and proposals to assist Financial Advisors / Private Wealth Advisors in managing performance measurements on existing accounts and cultivating new business opportunities
• Provides tailored recommendations to the Financial Advisor / Private Wealth Advisor about specific client situations and opportunities to consider
• Collaborates with the Financial Advisor / Private Wealth Advisor to develop an overall business plan and marketing strategy that may include targeted events and customized seminars
• Conducts quarterly/annual business performance reviews in conjunction with the Financial Advisor / Private Wealth Advisor
• Actively engages in available training and education programs – including firm strategic priorities, professional development and staying current on policies, procedures and new platforms and attend scheduled targeted/monthly field service professional and/or training calls
• Proactively participates in firm initiatives directed by local management

• 2+ years of work experience in a field relevant to the position required
• Four-year college degree or professional certification preferred
• Active Series 7 (GS), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA)
• Additional product licenses may be required

• Enjoys working with people and problem solving
• Knowledge of financial industry and investment products preferred
• Able to measure performance of clients’ portfolios
• Effective written and verbal communication skills
• Strong understanding of applicable compliance rules, regulations and firm policies
• Able to work independently and effectively on a team
• Strong computer skills including knowledge of Microsoft Office products (Word, Excel and PowerPoint)
• Detail-oriented with superior organizational skills and ability to prioritize tasks
• Ability and interest in working in a fast-paced, evolving environment

• Business Service Officer