Financial Advisor Assistant

2 weeks ago

Chicago, United States MAP Wealth Management Full time

Financial Advisory Assistant / Client Service Associate Job Description $60k-$90k

MAP Wealth Management, a growing wealth management firm, is seeking a client service associate to assist us in our mission of helping clients achieve their financial goals. This is your chance to play a key role in the future success of our fast-growing organization If you are passionate, eager to succeed, and share our vision, then we would love to hear from you 

 

Description

The client service associate plays a crucial role in the smooth functioning of the office. With overall responsibility for day-to-day operations, the Team Leader must be able to work effectively with other staff members, clients, and the Wealth Advisors. 

 

Responsibilities & Activities

·        Communicates, implements, and ensures compliance with guidelines and policies:

·        Maintains compliance policies and documentation.

·        Oversees the compliance and advertising approval process.

 

·        Oversees trading for the office:

·        Places trades and rebalances accounts.

·        Reviews account confirmation statements.

·        Sends trading-related correspondence to clients.

 

·        Communicates with clients in person, in writing, and over the telephone. Meets with clients to complete paperwork and attends periodic client update meetings.

 

·        Manages new business functions:

Ø Meets with clients and starts new client forms processing.

Ø Follows up with clients as needed to make sure all paperwork is processed.

 

·        Handles training and continuing education for the firm.

 

·        Coordinates team meetings:

Ø Sets agenda.

Ø Disseminates minutes, resulting tasks, and timelines for completion.

 

·        Develops and maintains written documentation (systems) of all activities.

 

·        Performs other duties as assigned.

 

 

Knowledge, Skills, & Abilities

·        Requires:

Ø Excellent knowledge of the securities industry’s rules and regulations

Ø FINRA Series 7, 66

Ø Strong communication and interpersonal skills

Ø Excellent organizational and time management skills

Ø Excellent attitude and an extraordinary client service orientation

Ø Ability to handle multiple tasks and operate within tight deadlines

Ø Proficiency with Microsoft Office Suite

 

·        At least one year of experience in a financial services firm assisting with day-to-day operations.

 

·        A bachelor’s degree is preferred.

 

·        Attendance is an essential function.

 

·        Salary is commensurate with experience. $60k-$90k

 

Benefits

·        Retirement Plan

·        Health Insurance

·        Professional development assistance

 

We offer a great working environment in a beautiful and professional downtown office location. Our culture is fast-paced, motivational, and focused on improving our client’s lives.

For more information about our company, please visit our website www.mapwealthmanagement.com.

 

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