Client Service & Compliance Associate

Full-time; On-site, Portsmouth, NH 

Wellesley Asset Management, Inc. is a growing Registered Investment Advisory (RIA) firm serving private clients, other RIAs, broker-dealers, institutional clients, and investment professionals. Since 1991, we have specialized in managing convertible bond portfolios.  

WAM’s client services team supports the firm’s private client and institutional sales groups and provides all clients with critical transaction-based and other services. We are seeking a professional who is detail-oriented, proactive, and comfortable working in a fast-paced environment with exposure to both internal teams and external clients. 

This is a client-interactive position with a wide variety of duties, including: 

• Client Onboarding – work with advisors of both the private client group and institutional sales group to open new client accounts and oversee the asset transfer process, and work with the trading team to effect client transactions. 

 • Direct Client Servicing – interact daily with clients by phone and email, assisting in a wide variety of client transactions and requests. 

• Client Reports – prepare client statements; produce detailed portfolio reports, presentations, and analyses for meetings with clients and prospects. 

• Account Maintenance – work alongside the finance team to ensure accurate billing and reporting; collaborate with investment teams and compliance on client-related needs. 

• Other responsibilities include assisting with compliance testing, Code of Ethics administration, service provider oversight, review of marketing materials, review/maintenance of policies and procedures and mutual fund board reporting. 

Desired Skills and Experience: 

· Four-year college degree required. 

· 2-3 years’ experience in Client Service for an asset manager, RIA, or custodian preferred. 

· Excellent written and verbal communication skills. 

· Strong organizational and problem-solving skills. 

· Ability to multi-task and meet deadlines in a fast-paced environment. 

· Thorough knowledge of Microsoft Excel, Word, and PowerPoint. 

· Knowledge of Salesforce helpful but not required. 

· Knowledge of Tamarac helpful but not required. 

· Ability to work independently and in a team-based environment. 

We Offer: 

· Very Competitive salary with benefits 

· The opportunity to work with bright and talented people 

If you are looking for an opportunity to work with bright and motivated colleagues in a challenging and fast-paced environment, then this could be the position for you. Wellesley Asset Management, Inc. will supply you with all the tools you need for success. You need only to bring your experience and enthusiasm to deliver to our clients the highest level of client service. 

We are located at 100 Market Street, Portsmouth, NH. The environment at Wellesley Asset Management, Inc. is friendly and professional. 

All Wellesley Asset Management, Inc. employees must pass a thorough background check.