Associate Portfolio Manager/Financial Planner
An Associate with Stoker Ostler Wealth Advisors provides administrative and operational support for one or more Portfolio Managers in the delivery of financial & investment planning and advice to deliver an exceptional client experience. Works collaboratively within the assigned teams. Primary responsibilities include each of the following:
- Meetings: schedule client meetings, prepare client meeting materials, and complete follow up items. Update CRM accordingly.
- Client Service: Prepare new account applications, handle account transfers, initiate and track money transfers, answer routine client questions, and create Investment Policy Statements (IPS) & IPS Addendums. Communicate with clients to address concerns and confirm transactions.
- Financial Planning – Assist is preparing financial planning documents, including statements of financial objectives, net worth statements, retirement models, and cash flow models.
- New Business Onboarding: Prepare new prospective client forms and applications, including necessary disclosures. Further assist in successfully completing new client on-boarding process and subsequent follow up items.
- Year-End Items: Provide back-office assistance for clients making family and charitable gifts, required IRA distributions, ROTH IRA conversions, and capital gains management. Update CRM and send letters of confirmation.
- Reporting: Provide client investment reports, performance reports, or other tax reporting info for select Portfolio Managers, as needed.
- Annual Account Reviews – Follow up on tasks generated from comprehensive, annual client account reviews that meet compliance standards for all clients for select Portfolio Managers.
- Portfolio Re-balancing: Assist in portfolio re-balancing process, trading, and cash management tools as needed.
- Bachelor’s degree required with major in Business or Finance preferred
- 1+ years financial and/or investment management industry experience preferred
- Knowledge of the investment industry
- Interest in CFP, CFA, CPA or MBA preferred
- Strong presentation skills; both written and verbal
- Excellent communication and interpersonal skills: writing emails, letters; skilled in both group and one-on-one communication
- Exceptional organizational skills
- Effective time management, prioritization, and multi-tasking
- Strong attention to detail
- Work independently, in teams, and cross functionally
- Highly proficient in Microsoft Office Applications: Word, Excel, PowerPoint
- Experience with Tamarac a plus
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