Wealth Management Associate Job Description template and pdf with duties [2024]

Job summary 1

The Wealth Management Associate is a client-facing role. Through a combination of marketing methods, client-management skills, and market and product knowledge, the Wealth Management Associate partners with team members to address the specific needs and service issues of high net worth clients in order to cultivate existing client relationships.

Duties & Responsibilities 1

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Independently improves and streamlines the service model and operational procedures for the team
Coordinates resolution of complex issues/concerns received from the client with input from senior team members
Identifies practice management opportunities through various firm channels
Establishes and cultivates relationships with new clients and proactively helps to resolve issues and concerns
- Provides support on products and services
- Conducts quarterly/annual business performance reviews in conjunction with the Financial Advisor
- May utilize financial planning tools to analyze complex financial information and lead client/prospect financial planning presentations in conjunction with the Financial Advisor

Requirements & Skills 1

Minimum of 5 years of post-high school education and/or work experience in a field relevant to the position required
Four-year college degree or professional certification preferred
Active Series 7, 63 and 65 or Series 7 and 66
If required, maintain CFP or CFA designation
Additional product licenses may be required
Financial industry and product knowledge preferred
- Effective written and verbal communication skills
- Knowledge of applicable compliance rules and regulations and firm policies
- Able to work independently

Job summary 2

Do you want to impact the financial lives of people for the better? Do you aspire to a career in wealth management, providing holistic advice including tax, planning and investment services? Would you value working for a collaborative team that puts clients first? If yes, we believe you would be an outstanding fit as a Wealth Management Associate on our Wealth Management team.

Duties & Responsibilities 2

Assist Wealth Management advisors with on-boarding of new clients: customizes our standard contract with new client information, obtains all appropriate forms from custodian and works with each new client to ensure accurate completion, and coordinate submission with the custodian for processing
Serve as on-going liaison between advisors and custodian, managing account openings and maintenance paperwork
Support advisors by organizing and preparing needed meeting and marketing materials, quarterly reporting and other client mailings
Organize and maintain client files and all key custodian documents
Provide assistance with “practice management” related data gathering, tracking and reporting
Proactively interact with clients and assist in creating a spectacular client experience
- Assist with the timely completion and submission of all client related transaction requests
- Manage and administer the quarterly client reporting process
- Organize and maintain the CRM system (Salesforce), reporting, and filing systems

Requirements & Skills 2

Team player who welcomes feedback with the goal of continuous improvement
Detail-oriented with strong verbal and written communication skills, professional presentation, and organizational skills
Attitude that no task is too small and a willingness to do whatever tasks are necessary to make sure that the work is done on time
Proficiency in technology/applications a must – experience with Addepar, eMoney, Salesforce and Excel preferred
- 0-5 years experience in financial services preferred.
- Bachelor’s degree preferred but not required
- Remote work arrangement is possible with the right attitude and skill sets.

Job summary 3

The Wealth Management Associate works closely with our tax professionals to provide comprehensive financial planning, asset management and other investment advisory related services to our clients. The Wealth Management Associate plays an important role by supporting Wealth Advisors and in serving our clients in a number of ways, as described below.

Duties & Responsibilities 3

The Wealth Management Associate will become familiar with various aspects of the wealth management practice including operations, investment management, case development, the client service model and new business acquisition.
Serve on the client service team to assist in managing client relationships. Will have direct client contact and will be focused on helping to deliver our consistent client service model to clients.
Will be involved in client and prospect meetings as well as networking opportunities.
Develop competency with our eMoney financial planning software to assist in the development of financial plans.
- Responsible for preparing investment (portfolio) analysis and financial related projects as needed.
- Develop competency in our CRM and manage workflows and related documentation requirements.
- Facilitates best practice and assists in monitoring and satisfying compliance requirements.

Requirements & Skills 3

Job summary 4

The Wealth Management Associate works with Wealth Advisors and Partners to service existing and new client relationships with an emphasis in the areas of financial planning, estate planning and tax planning. We are proud to offer a hybrid work environment as we believe in work/life flexibility, giving you the option to advance your career no matter where you are.

Duties & Responsibilities 4

Gather information to analyze and prepare comprehensive financial plans.
Review estate documents including wills, trusts, and insurance policies.
Prepare estate flow charts.
Prepare for client meetings and client proposals.
- Prepare client communications including e-mail, telephone, and written correspondence.
- Participate in and document client meetings and follow-up.
- Prepare tax projections, estimated payments, and other necessary tax planning.

Requirements & Skills 4

Job summary 5

As a Wealth Management Associate, you will work as part of a team on programs that impact our clients' experiences and perceptions of the firm. The team will be responsible for end-to-end delivery across the project life cycle and accountable to senior management for comprehensive program updates.

Duties & Responsibilities 5

Support specific workstreams within individual programs and assist in the development and deployment of the strategic operating model of your assigned program
Participate in key workstream meetings or working groups with the Front Office, Product, Marketing, Legal, Risk, Compliance, Operations and Technology
Contribute to the design and implementation of full operating models (e.g., organizational structures, governance, detailed processes, controls, and technology tools)
- Participate with skilled teams through project lifecycles by leveraging approaches in process re-engineering, organizational design, program and change management
- Identify challenges, gaps and opportunities for improvement (and report findings in a simple, compelling way)
- Organize related in-flight programs that cross-impact are dependent on your assigned workstream, project, or program

Requirements & Skills 5

Bachelor's degree
2+ years of experience in project management
Experience in strategic consulting, management consulting, process improvement is a plus
- Demonstrated ability to be an integral team member on large-scale, complex programs (planning, designing, documenting, communicating)
- Exposure to end-to-end bank infrastructure, including advisors, client service, product, technology, operations, and controls
- Strong slide deck and analytical skills (Microsoft Office including Excel, PowerPoint, Word, and Visio)

Job summary 6

We are seeking an energetic, diligent and innovative individual to join our growing team! More than just an administrative role, this person will seek to create operational efficiencies within the independent financial practice. The ideal candidate for this role is highly motivated and enjoys working in a fast-paced office environment with a willingness to learn and grow as part of a financial team. Position requires attention to detail, excellent communication skills and strong organizational ability. In this Wealth Management Associate role, you will have the opportunity to work within a team of financial professionals supporting the Independent Financial Advisors in our practice. You will connect with clients and develop relationships as they navigate wealth management.

Duties & Responsibilities 6

Requirements & Skills 6

Strong financial services experience required.
Multi-custodial experience preferred.
Superior organization skills and attention to detail
Must have the willingness to learn firm tech systems and implement them into the advisor's practice
Ability to multi-task, prioritize effectively and be a self-starter
- Strong written and oral communication skills
- Experience in Microsoft Office Suite. Experience with Salesforce is a plus.
- Series 7 and/or 65 licenses preferred.

Job summary 7

The Wealth Management Associate position will work to support a growing Partner Advisor team. We are seeking a Wealth Management Associate who can quickly partner with the team in handling the responsibilities outlined below. This is an exciting opportunity to be a part of an experienced and growing entrepreneurial team and will provide exposure to a broad range of advisory services.

Duties & Responsibilities 7

Requirements & Skills 7

Bachelor’s degree with 3+ years of relevant work experience in wealth management
CFP® welcomed, but not required
Series 65 license preferred or must acquire in the first two months of employment
Highly organized, detail-oriented approach to working with clients
Demonstrated investment management and trading experience
- Operations knowledge and experience regarding client onboarding and administration
- Understanding of basic financial, retirement, and tax planning concepts
- Keen interest in learning more about investment management and financial planning including risk management, tax strategy, and retirement and estate planning

Job summary 8

The Wealth Management Associate would begin as a junior professional working on multiple aspects of the wealth management process. Specifically, the associate would work on tasks and projects for the Financial Planning and Investment Management departments at Company.

Duties & Responsibilities 8

Requirements & Skills 8

Undergraduate degree in Accounting and/or Finance
A focus on aspects of Wealth Management as a career
Interest in obtaining CFP and/or CPA designations
Strong written, verbal, and presentation skills
- Detail-oriented with organizational skills and the ability to take initiative
- Collaborative team player with high integrity
- Desire to work successfully in a small company environment

Job summary 9

The Wealth Management Associate provides organizational support to the areas of trust, portfolio management and financial planning. Effectively communicates and provides updates to clients on administrative issues. Executes on administrative deliverables, as well as investment aspects of client accounts within prescribed level of authority. Collaborates with key internal partners and colleagues to deliver a seamless client experience and an optimal level of client service. Participates, identifies and capitalizes on opportunities to expand and retain client relationships. Performs other duties as required.

Duties & Responsibilities 9

Contributes to excellence in the client experience through collaboration, coordination, accountability and general
administrative responsibility within scope of authority of all client activities with Company’s Trust and Wealth Management colleagues, as well as third service providers. Follows-up and ensures that activities are seen through to completion with proactive communication (i.e. acknowledge requests, estimated time of completion and confirmation).
Acts as the liaison between the client, internal partners, and other centralized support teams (such as Trust Operations and Bank).
Provides support to assigned Portfolio Officer and/or Fiduciary Wealth Advisor(s) with meeting preparation
for Relationships Reviews.
Assists with research, preparation and support for periodic Account/Relationship Reviews for Reg9.
- Assists with executing trades and other investment programs under the general direction and approval of assigned
- Officer and/or Advisor.
- Prepares various reports, correspondence, technical documents and special projects as requested.

Requirements & Skills 9

Bachelor’s Degree in Finance or related field; five years of previous investment or trust/wealth management client service experience; or equivalent combination of education/experience.
General knowledge and understanding of fiduciary, investment and/or financial products and services.
Demonstrated proficiency and effectiveness in client service skills, communication skills (including verbal, phone and written), and problem resolution skills.
Demonstrated proficiency and effectiveness in organizational skills including the ability to balance multiple requests and prioritize tasks in an efficient manner or order to support multiple people.
- Ability to interact effectively and collaboratively in a team environment.
- Excellent verbal and written communication skills.
- PC proficient including MS Word, Excel and PowerPoint.

Job summary 10

A Wealth Management firm seek a Wealth Management Associate.

Duties & Responsibilities 10

Act as liaison between home office and advisors
Develop an in-depth knowledge of our portfolio management system
Portfolio accounting and investment performance measurement reports as needed
Help to develop and implement efficient processes and workflows as our business grows and changes
- Compile and analyze data from multiple sources
- Create and maintain ad hoc or custom reports
- Generate reports and provide data/information for advisors

Requirements & Skills 10

BA degree
2-4 years of investment operations and/or portfolio accounting experience
Licensed (Series 7 and 65/66)
Insurance and financial planning experience preferred
- Knowledge of various financial reporting systems such as Bloomberg
- NetX360 experience preferred
- Strong Microsoft Office skills

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Wealth Management Associate Job Description

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