Experience and Skills
* Bachelor’s degree in finance, accounting, economics or equivalent work experience.
* Successful completion of the (SIE) Securities Industry Essentials and FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 66 [or Series 63/65]) required.
* Successful completion of the CFA designation is preferred.
* Prior experience with Envestnet is a plus.
* In-depth knowledge and practical ability to analyze individual securities and portfolios and select appropriate investments for individual clients in keeping with REG BI and fiduciary requirement standards.
* Proficient computer skills (including Microsoft Word, Excel and Outlook.).
* Required to follow policies and procedures and maintain client confidentiality.
* Ability to proactively work with both external and internal clients. Relate with others in a professional manner in order to accomplish work responsibilities and objectives.
* Work collaboratively with the Financial Advisor and team to define, develop, and refine methodology to implement a core investment philosophy and discipline.
* Manage and monitor client portfolios in accordance with stated goals, objectives, risk tolerance, and Financial Advisor and team investment discipline.
* Rebalance portfolios on a periodic basis to maintain stated allocation targets.
* Leverage expertise in firm investment platforms, product offering, supervised research lists and additional research collateral and actively seek out and maintain a sophisticated knowledge base of all products, services, forms and systems.
* Build and maintain an ongoing professional relationship with clients. Understand the client’s investment objectives, tolerance for risk and financial situation. Conduct in-depth analyses of client portfolios and potential suitable investments.
* Engage with clients and part of the team acting as the subject matter expert with investment selection, portfolio construction and reporting.
* Know, understand and follow all policies, procedures, rules and regulations of the Firm as well as the various regulatory agencies. Ensure that clients also comply with rules and regulations. Anticipate potential issues and/or problems and use independent judgment to take appropriate action and/or to alert respective investment executive and/or branch management as necessary.
* Keep informed of all pertinent information and activity related to a client’s account and transactions to include issues related to client suitability. Apply knowledge to initiate actions related to client accounts.
* Provide work direction to assistants and/or other team members. Assist in coordinating workflow within the team structure.
* Perform any other duties and special projects as necessary.
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.