Portfolio Analyst

2 months ago

Boston, United States Moors & Cabot Inc Full time
Job DescriptionJob Description

Position Summary

To support the construction and ongoing management of client portfolios and financial plans within an existing practice of approximately one billion of assets under management. Focal points will include security analysis, trading, client communications, and servicing of existing relationships.


Role Description

The Portfolio Analyst is an impactful and forward facing member of the Moors & Cabot team with a mission to competitively deliver the highest quality services to high net worth clients and foundations in order to help them achieve their financial goals. This role is an integral part in creating, fostering, and building upon the Client/Financial Professional relationship, and has the responsibility to interact with clients directly. By facilitating these interactions and being an active, collaborative, and engaged employee, this role provides room for growth to take on direct portfolio management responsibilities and move into a lead role in individual client relationships.

This full-time role reports to their respective Branch Manager, with additional feedback gathered from the assigned Financial Professional(s). Working hours are Monday - Friday 8:30 AM to 5:00 PM EST. This role is hybrid, and requires 3 days in the office per week.


Role Responsibilities

Client/Financial Professional Team Duties (80%)

  • Continuously monitor clients’ financial situations with detail and accuracy such as monitoring portfolio transactions, and addressing client portfolio inquiries

  • Develop and implement financial planning solutions for clients and perform complex research and financial analysis related to those solutions

  • Support the team’s existing client base through portfolio management and individualized client service models

  • Build, maintain, and update client databases and financial plans

  • Perform research for client portfolios using various software tools

  • Create and prepare detailed portfolio reviews, security analysis, and client delivery presentations for meetings

  • Keep up-to-date with the latest tax regulations and industry trends

  • Understand the clients’ risk tolerance and develop strategies to minimize risk

  • Maintain professional licensure and certifications

  • Document and execute money moves - trades, deposits, ACH, wires, withdrawals, rollovers, etc.

  • Maintain working relationships with other business functions to ensure seamless business practices and troubleshoot problems when they arise

    • Compliance, Operations, IT, Strategic Initiatives, Training Center, etc.

  • Adhere to and keep up to date on Compliance and firm policies

  • Ensure and maintain good standing with all FINRA/SEC rules and regulations including licensure and continuing education requirements, if applicable

Administrative (20%)

  • Directly communicate with clients to service their account requests or concerns via phone, email, or other mediums

  • Maintain and organize client files, CRM Redtail notes, and documentation

  • Maintain open communication with assigned FPs to discuss financial opportunities within portfolio reviews and management

  • Collaborate with Marketing to assist with financial professional marketing strategies and initiatives

  • Complete data entry for MoneyGuidePro plans

  • Take initiative in career growth by enrolling in Google Classroom courses and provided development opportunities

  • Utilize DocuSign and DocuPace for form signature, distribution, and documentation

  • Contribute to the upkeep and image of the company brand

  • Submit monthly expense reports to provide accurate P&L data

  • Provide administrative support to Financial Professional(s) and Branch Manager as needed

  • Be an active culture carrier within teams and contribute to a positive team morale

  • Other duties as assigned


Key Measurements

  • Ability to integrate into financial professional’s business and build client rapport

  • Accurate completion of weekly/monthly research and financial planning reports

  • Accomplishment of individual and branch annual goals depicted in ADP and future performance management tools

  • Initiative shown to improve existing processes and to find solutions that will streamline and expand the practice


Minimum Requirements

  • 3 years of relevant experience within Financial Services

  • FINRA Series 7 and 63, 65 or 66

  • Bachelor’s Degree or higher in Business, Finance, or related field

  • A passion for financial markets

  • Strong understanding of financial planning, portfolio management, and fiduciary investing concepts

  • Prior experience with Financial Planning softwares

  • Confident in using Microsoft Office Suite and Google Suite

  • Comfortable taking initiative and being part of a team environment

  • Competent in the following Knowledge, Skills, and Abilities

    • Critical Thinking

    • Organization

    • Attention to Detail

    • Communication via Reading, Writing, and Oral Expression

    • Active Listening

    • Social Perceptiveness

    • Coordination

    • Time Management

    • Deductive and Inductive Reasoning

    • Empathy

    • Selective Attention

    • Time Sharing

    • Memorization

Preferred Requirements

  • CFA, CFP Designation, or desire to enroll in certification

  • Experience with Advent, Addepar, Redtail, RBC, and MoneyGuidePro


About US

Since its founding in 1890, Moors & Cabot and its people have defined the meaning of financial services. The firm has participated in the retail sale of stocks and bonds to individuals and the institutional sale of stocks and bonds to most of Boston's money management firms. In addition to specializing in wealth management through full service registered representatives, Moors & Cabot offers investors additional investment tools such as cash management accounts, retirement planning, mutual funds, annuities and other insurance products.

Moors & Cabot is an equal opportunity employer. All aspects of employment including the decision to hire, promote, discipline, or discharge, will be based on merit, competence, performance, and business needs. We do not discriminate on the basis of race, color, religion, marital status, age, national origin, ancestry, physical or mental disability, medical condition, pregnancy, genetic information, gender, sexual orientation, gender identity or expression, veteran status, or any other status protected under federal, state, or local law.

We utilize the Department of Homeland Security’s employee authorization program, E-verify. E-Verify confirms employment eligibility by comparing the employee's Form I-9 information entered in E-Verify by the employer with the information in records available to SSA and/or DHS.


Compensation

  • Salary commensurate with experience

  • Additional compensation opportunities available for specialty assignments based on organizational needs

  • Total Rewards Benefits Package:

    • Medical, Dental & Vision

    • Short Term Disability, Long Term Disability, Life Insurance, and optional Supplemental Life insurance for employee, spouse, and dependents

    • 401k plans with yearly match

    • Flexible spending accounts

    • PTO: vacation, personal days, sick time, and volunteerism day to encourage community involvement

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