At TalentWealth Recruiting we assist independent Wealth Management firms across the country in hiring top professionals to join their practices.

Our client in Tampa who is an independent firm that manages over 240 million in client assets is seeking an exceptionally sharp, motivated, and detail-oriented Client Associate to join their team.

Job Summary :

Under general supervision, uses advanced skills gained through training and experience to provide proactive support to financial advisors and assist with efficient, quality client service.

Follows established procedures to perform routine tasks and receives general guidance and direction to perform other work with substantial variety and complexity requiring limited decision-making responsibility.

Extensive contact with internal and external clients to resolve most questions and problems and refer new or unusual issues to a higher level.

Essential Duties and Responsibilities :

• Interacts daily on the phone and in person with prospective and existing clients including handling basic inquiries and providing quotes.
• May enter unsolicited trades at the direction of the Financial Advisor.
• Researches client and security information through the back office system.
• Processes and follows up on client documentation for proper maintenance of accounts.
• Prepares letters, forms, and spreadsheets to assist with servicing existing clients and prospecting new clients.
• Creates and maintains records and files.
• Ensures required client paperwork is current with firm and industry requirements, rules, and regulations.
• Maintains databases and creates reports using portfolio software programs.
• Receive and review life insurance applications submitted by Advisors
• Ensure compliance with company policies and regulatory requirements throughout the application process.
• Demonstrate a comprehensive understanding of annuity products, including their features, benefits, and suitability for clients.
• Prepare and distribute reports on application status, turnaround times, and other relevant metrics as needed.

Qualifications :

• Company’s working structure, policies, mission, and strategies.
• General office practices, procedures, and methods.
• Investment concepts, practices, and procedures used in the securities industry.
• Financial markets and products.
• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
• Analyzing to be able to research account information.
• Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
• Handle stressful situations and provide a high level of customer service calmly and professionally.
• Please use the appropriate interpersonal styles and communicate with all organizational levels effectively, both orally and in writing.
• Use mathematics sufficient to process account and transaction information.
• Work independently.
• Provide a high level of customer service.

Educational / License Requirements

• 4-year degree preferred
• An equivalent combination of experience and education in financial services

Licenses / Certifications

• FINRA Series 65 preferred
• 2-15 Florida Life & Health Insurance preferred

Last updated : 2024-05-11