Associate

Top Accountabilities

• Support the Development of Comprehensive Financial Planning and Investment Recommendations: Assist in analyzing client goals, needs, and financial data to propose tailored recommendations across all areas of wealth management including investment strategy, retirement planning, tax optimization, estate planning, and risk management.
• Deliver High-Quality Client Service and Daily Communication Support: Serve as a key point of contact for clients to support ongoing service needs, clarify planning strategies, and coordinate implementation across internal and external stakeholders.
• Execute and Monitor Investment and Financial Plan Implementation: Manage the operational execution of investment changes and financial planning recommendations, ensuring seamless coordination and documentation.
• Maintain and Review Client Performance and Planning Reports: Support the preparation and quality control of performance reports and planning updates, ensuring that they reflect current client objectives and financial conditions.
• Ensure Adherence to Fiduciary, Compliance, and Procedural Standards: Monitor and document client activity to ensure alignment with firm policies, fiduciary obligations, and best practices in client care.

Other Duties & Responsibilities

• Engage directly with clients to support a variety of service needs while helping to foster trusted, long-term relationships.
• Cook up with third-party providers, including custodians, investment managers, estate attorneys, and tax professionals, to facilitate timely and accurate execution of client strategies.
• Interface with external investment managers to gather information, track investment activity, and support the alignment of client portfolios with overall planning goals.
• Prepare meeting materials such as financial plans, performance reports, and investment summaries; participate in client meetings and capture next steps and follow-ups.
• Uphold strict client confidentiality and remain vigilant in monitoring accounts for unusual or potentially fraudulent activity.
• Collaborate with the Client Service Associate and other team members to ensure seamless execution of operational and administrative tasks.

Key Criteria/Requirements

• Bachelor’s degree
• 3-6 years of financial services experience
• Experience with Fidelity and Schwab
• Proficiency in Microsoft Office (Excel, Outlook, PowerPoint, Word)

Key Competencies

• Attention to Detail
• Client Focus
• Problem Solving
• Communication
• Technical Proficiency
• Adaptability
• Analytical Thinking
• Accountability
• Collaboration
• Confidentiality

Physical Requirements

• Must be able to remain in a stationary position 50% of the time.
• Constantly operates a computer and other office productivity machinery, such as a calculator, copy machine, and computer printer.
• The ability to communicate information and ideas so others will understand. Must be able to exchange accurate information in these situations.