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.

Qualifications 

•  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