This position provides support to the financial advisor of a rapidly growing wealth management practice, interfacing with clients and maintaining operating efficiency with paperwork and software programs.
- Help advisor prepare for client meetings.
- Meet with clients to complete paperwork; ensure all required forms are completed fully and accurately.
- Track all pending business paperwork; when documents are outstanding, update pending business summary sheet for advisor’s attention; track and tally all outstanding work weekly.
- Anticipate advisor needs and handle them proactively.
- Use excellent customer service skills to build client relationships.
- Answer phone and handle all client service issues within capacity
- Make suggestions to systematize and improve office functions.
- Use CRM system efficiently to schedule client meetings and marketing activities and to enter new contacts.
- Use Commonwealth’s services, such as COMMunity Link® and online trading, efficiently. Regularly review Commonwealth news items, technology updates, and e-mail communications; report pertinent information back to advisor.
- Conduct research on Morningstar® or COMMunity Link® as directed by the advisor.
- Assist with seminars as directed by the advisor.
- Place trades through Commonwealth at advisor’s direction, if licensed.
- Assist with data entry of all client financial information. Draft letters, as directed by advisor.
- Prepare and send outgoing mail.
- BA or BS preferred Three years of experience in the investment/insurance industry; experience working with National Financial Services (NFS) processes and forms a plus
- Exceptional customer service experience FINRA Series 6 or FINRA Series 7 registration; FINRA Series 63 a plus
- Proficiency with computer programs, including MS Word and Excel, CRM, Wealthscape℠, and Morningstar®
- Ability to interact with people across all levels of the business
- Attention to detail Ability to effectively prioritize workload and meet deadlines
- Sophisticated organizational skills, including physical resources (such as files, manuals, etc.) and nonphysical resources (such as calendars, appointments, events, client contact records, images, etc.)
- Familiarity with basic marketing concepts and practices
- A self-starter who can work independently