Investment Management Specialist

About the Role

This role performs specialized functions across a Financial Advisor (FA) team, including defining the team’s overall investment management philosophy through portfolio analysis and executing business management and development activities. Key responsibilities involve providing operational support and quality client service by offering a full range of investment products and services. The position leverages specialists and financial planning tools to deliver holistic investment solutions and may include responsibilities related to residential mortgage loans, subject to SAFE Act registration requirements.

Investment Management Specialists support Financial Advisor(s) and/or Advisor Team(s) by executing portfolio analysis and sharing expertise across a wide range of investment product areas. They ensure client risk profiles, goals, objectives, and asset allocations are properly aligned and reflected. Specialists partner with internal teams to deliver targeted investment strategies and assist in preparing client performance review reports.

Responsibilities

• Analyze and understand Merrill and third-party research
• Monitor and respond to market and non-financial current events
• Navigate proprietary planning and investment management tools
• Deliver investment management tools, including investment proposals and CRC
• Monitor and analyze book pricing internally for FA team
• Convey pricing to ensure clients understand the value of advice and solutions
• Demonstrate deep understanding of the CIO philosophy and monitor strategy changes based on the market environment
• Manage client portfolios to align with goals, objectives, risk tolerance, and time horizons
• Research portfolio recommendations for Investment Committee review
• Prepare materials and coordinate weekly Investment Committee meetings
• Proactively review and manage team proprietary models to align with Investment Committee decisions
• Manage ML One variances, enrollments, updates, withdrawals, and terminations
• Serve as Primary/Lead Team Member for processing PIA trades in Portfolio
• Process all trades (discretionary or non-discretionary)
• Create analytical reports for FAs to review client investment portfolio performance against market returns
• Propose client recommendations/changes based on goals, risk tolerance, time horizon, and objectives

Requirements

• Either Series 7 and 66 licenses or Series 7, 63, and 65 licenses; must obtain all state registrations held by the Financial Advisor(s) and Advisor Team(s) they support
• SAFE Act Registration (if applicable to role)
• Maintain a Form ADV-2B, providing clients details on experience, educational background, and other SEC requirements
• Obtain and/or maintain at least one firm-approved designation
• Strong communication skills
• Thorough knowledge and understanding of Wealth Management products and services
• Strong analytical and portfolio management skills with the ability to identify trends and implement investment strategies to increase growth and mitigate risk
• Ability to make sound decisions with a deep understanding of investment management best practices and policies/procedures
• Ability to identify client needs and articulate appropriate solutions aligned with goals in a suitable and controlled way

Skills

• Causation Analysis
• Financial Management
• Investment Management
• Trading Strategy
• Trading and Investment Analysis
• Portfolio Analysis
• Portfolio Management
• Price Verification and Valuation
• Trade Monitoring
• Trading
• Client Investments Management
• Client Solutions Advisory
• Financial Analysis
• Financial Forecasting and Modeling
• Wealth Planning

Qualifications

Minimum education requirement: High School Diploma / GED / Secondary School or equivalent.

Schedule

1st shift (United States of America), 40 hours per week.