Job description

The Associate Wealth Management Advisor (AWMA) specializes in client service and reports to the Managing Director. The AWMA is a liaison between the Managing Director, clients, and the Home Office.

Specific responsibilities may include but are not limited to:

Support

· Handle case notes, process correspondence, maintain client files, account forms and advisory paperwork

· Schedule and attend follow-up appointments

· Respond to home office account inquiries

· Monitor industry trends and research

· Ensure compliance requirements are implemented and followed

Proposal and Case Preparation

· Prospect on behalf of the employing WMA for new advisory clients

· Gather information for WMA meetings with client/prospect

· Prepare advisory annual review information, proposals, letter of instruction, policy statements, etc.

· Recommend fund portfolio options

Processing Accounts

· Prepare and process all paperwork needed for investment/advisory accounts

· Process asset transfers on initial and subsequent funding of advisory accounts

· Implement initial and subsequent asset allocation trades

· Identify need for switch letter and mailing appropriate forms to clients

· Discuss potential rollover opportunities from other retirement plans for variable and mutual funds

· Process proposal amendments, monitor alerts and annual reviews in Envestnet

· Execute buy or sell orders and rebalance orders in Envestnet while maintaining asset allocation

· Follow up on trade rejects and resolve all trade-related issues

· Monitor holdings for program eligibility

Advisory Client Meetings

· Meet with advisory clients for fact finding and conduct existing advisory client reviews

· Complete risk tolerance questionnaire with client

· Make security recommendations and modify asset allocations for existing advisory client accounts

· Participate in client meetings for financial or investment plan development or presentation

Client Service

· Correspond with clients to handle advisory related service issues

· Explain advisory products or advisory performance to existing clients

· Accept redemptions/withdrawals from clients and communicate instructions to home office

· Discuss tax consequences, costs and advisory fees

· Run performance reports in Envestnet, Morningstar and NMCIR

Qualifications

· Series 7

· The following insurance designations are desired: CLU, ChFC, CLTC or CFP

· Minimum of 2 years in the securities industry with experience in advisory required

· Trading experience, ability to process personal securities transactions

· Excellent oral and written communication skills

· 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 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: $65,000.00 - $100,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Employee assistance program
• Flexible schedule
• Flexible spending account
• Health insurance
• Health savings account
• Life insurance
• Paid time off
• Professional development assistance
• Retirement plan
• Tuition reimbursement
• Vision insurance

Physical setting:

• Office

Schedule:

• 8 hour shift
• Monday to Friday

Supplemental pay types:

• Bonus pay

Ability to commute/relocate:

• Elm Grove, WI 53122: Reliably commute or planning to relocate before starting work (Required)

Application Question(s):

• Have you passed the Series 7 exam?

Work Location: In person

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