Support

• Handle case notes, processing correspondence, maintaining client case files and filing performance reports, account forms and other advisory paperwork
• Maintaining financial representative’s calendar, scheduling and attending follow-up appointments
• Responding to home office account inquiries
• Maintaining annual review notes in Envestnet and mailing annual review letters to clients
• Monitoring industry trends and research
• Ensuring NMIS and NMWMC compliance requirements are implemented and followed

Proposal and Case Preparation

• Prospecting on behalf of the employing WMA for new advisory clients
• Gathering information for WMA meetings with client/prospect
• Preparing advisory annual review information
• Preparing and modifying PPAs and investment/advisory proposals

Processing Accounts

• Preparing and processing all paperwork needed for investment/advisory accounts
• Monitoring, processing and following up on asset transfers and on initial and subsequent funding of advisory accounts
• Implementing initial and subsequent asset allocation trades
• Meeting with advisory clients for fact finding and conducting existing advisory client reviews
• Completing risk tolerance (personal profile) questionnaire with client
• Making security recommendations and modifying asset allocations for existing advisory client accounts
• Participating in client meetings for financial or investment plan development or presentation

Client Service

• Corresponding with Identifying need for switch letter and mailing appropriate forms to clients
• Discussing potential rollover opportunities from other retirement plans for variable and mutual funds
• 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

Advisory Client Meetings

• 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

• Associate Financial Representative contract required
• Completion of home office Signature advisory training
• Five years in securities industry with experience in advisory or wrap programs required
• Trading experience, ability to process personal securities transactions
• 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

Job Type: Full-time

Pay: From $22.00 per hour

Benefits:

• 401(k)
• 401(k) matching
• Employee discount
• Life insurance
• Professional development assistance

Schedule:

• 8 hour shift
• Monday to Friday

Supplemental pay types:

• Bonus pay

Ability to commute/relocate:

• Appleton, WI 54913: Reliably commute or planning to relocate before starting work (Required)

Experience:

• Financial concepts: 1 year (Preferred)

Work Location: In person

Looking for more jobs near me. Find your favorite job now by visiting our jobs page.