Registered Client Service Associate

Job description

Support

• Handle case notes, processing correspondence, maintaining client case files and filing performance reports, account forms and other advisory paperwork

Proposal and Case Preparation

• Gathering information for WMA meetings with client/prospect
• Preparing advisory annual review information
• Preparing and modifying PPAs and investment/advisory proposals
• Preparing letter of instruction for client signature
• Preparing investment policy statement, needs-based analysis or financial plan
• Recommending fund portfolio options

Processing Accounts

• Processing proposal amendments, monitoring alerts and annual reviews in Envestnet
• Executing buy or sell orders and rebalancing orders in Envestnet and maintaining asset allocation
• Following up on trade rejects and resolving all trade-related issues
• Monitoring holdings for program eligibility and administering advisory accounts

Client Service

• Corresponding with clients to handle advisory related service issues
• Contacting clients on behalf of the WMA for developing advisory plan and providing technical explanations of investment plan
• Explaining advisory products or advisory performance to existing clients
• Providing services and administering advisory products
• Accepting redemptions/withdrawals from clients and communicating instructions to home office
• Discussing tax consequences, costs and advisory fees
• Maintaining daily tickler system for account follow-ups and service requirements
• Performing cashiering functions
• Running performance reports in Envestnet, Morningstar and NMCIR

Qualifications

• 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
• Ability to look beyond the obvious and not stop at the first answers
• 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

Preferred but not required, licenses and experience (Employer will provide license and training support for the right candidate)

• S.I.E., Series 7, Series 63, Variable Annuity
• The following insurance designations are a plus: CLU, ChFC, CLTC or CFP
• Industry Experience

Salary Range: $45,000 - $65,000 dependent on licenses and experience

Retirement Plan

Medical, Dental, Vision

STD, LTD

Paid Holidays

Paid Time Off

Job Type: Full-time

Job Type: Full-time

Pay: $45,000.00 - $65,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Paid time off
• Vision insurance

Compensation package:

• Bonus opportunities

Schedule:

• 8 hour shift

Ability to Relocate:

• Portage, MI 49002: Relocate before starting work (Required)

Work Location: In person