Asset & Wealth Management, Alternative Capital Markets, Wealth Management Professional, Associate - Dallas

About the role

A Wealth Management Professional (WMP) will work to provide operational support to various business lines. A WMP will provide support to sales across all aspects of the trade execution life cycle, including new account onboarding, account documentation (OTCs, listed options, etc.), pre-trade suitability & setup checks, and post-trade monitoring. The role will involve working with other internal teams including operations, compliance, middle office, legal and wealth management teams. Additionally, a WMP may provide support for situations involving restricted & control stock. This may include providing Filings support for wealth management teams, relaying execution details to external Issuers for required filings, and working with internal operations and external stakeholders for share clean-up and delivery.

Responsibilities

• Liaise with PWM teams and partner with Client Onboarding Team, Compliance, Legal and Operations to support all aspects of APS client account onboarding and management
• Facilitate initial onboarding of client relationships, including providing guidance throughout the Account Opening and initial Master Subscription document completion process as well as liaising with Fried Frank to obtain account approvals
• Aid in the accurate and timely booking of trades across multiple alternatives asset classes (e.g., private equity, private credit, private real assets)
• Process and reconcile subscription activity. Resolve any discrepancies or exceptions in a timely manner
• Manage the ongoing processing of all transactions and ad hoc requests related to trade support
• Serve as a liaison with various internal departments, including Operations, Engineering, Strats, Controllers, Risk, and Compliance, to facilitate issue resolution and process improvement
• Identify opportunities to streamline processes and automate tasks
• Manage subsequent account maintenance, including initiating the annual re-attestation process for accounts
• Serve as a key liaison for PWM teams to support ongoing account monitoring, for purposes including but not limited to performance reporting, portfolio planning, investment veto tracking

Qualifications

• Bachelor's Degree Required
• Minimum of 2 years of experience
• Ability to work in a fast-paced environment and think clearly under pressure
• Excellent communication skills
• Strong organizational skills
• Team player
• Detail-oriented
• Knowledge of Windows technology (Outlook, Excel and Word)
• SIE, Series 7 and 63 required (must be obtained within three months of employment)