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Form of workOVERALL FUNCTION
Aria Financial Services is seeking an Investment Associate to lead in the areas of financial planning analysis, development of strategies for clients, and serve as an in-house subject matter expert on investment strategies and planning objectives. Specific responsibilities may include but are not limited to:
Support
- Handling case notes, processing correspondence, maintaining client case files, and filing new statements, account forms and other insurance and investment related materials
- Responding to home office account inquiries
- Monitoring industry trends and research
- Ensuring compliance requirements are implemented and followed
Proposal and Case Preparation
- Gathering information for meetings with client/prospect
- Preparing annual review information
- Preparing and modifying investment proposals
- Preparing investment policy statements, needs-based analysis, or financial plans
- Recommending fund portfolio options
Processing Accounts
- Preparing and processing all paperwork needed for investment accounts, including client onboarding
- Monitoring, processing, and following up on asset transfers
- Implementing initial and subsequent asset allocation trades
- Discussing potential rollover opportunities from other retirement plans for variable and mutual funds
- Processing proposal amendments, monitoring alerts, and annual reviews
- Executing buy or sell orders and rebalancing orders and maintaining asset allocation
- Following up on trade rejects and resolving all trade-related issues
Client Service
- Completing risk tolerance (personal profile) questionnaire with client
- Making recommendations and modifications for existing investment accounts
- Participating in client meetings, including financial or investment plan development
- Corresponding with clients to handle investment related service issues
- Contacting clients on behalf of the advisor for developing financial plan and providing technical explanations of investment plan
- Accepting redemptions/withdrawals from clients and communicating instructions to home office
- Discussing tax consequences and costs
- Running performance reports
Qualifications
- Bachelor’s degree required
- Series licenses required; insurance licenses (life/health/LTC) preferred
- Familiarity with Microsoft applications and data entry and information retrieval software
- Excellent oral and written communication skills
- Strong critical thinking, financial analysis, and problem-solving skills required
- Ability to manage multiple diverse projects and assignments in a timely and quality manner
- Strong attention to detail with the ability to work with a high degree of accuracy
- Demonstrated ability to maintain effective working relationships with clients
- Willingness to learn
- Ability to embrace change and work in a fast-paced environment
- Able to work both independently and in a team
- Ability to maintain confidentiality
