Wealth Management Associate Job Description

Wealth Management Associate Job Description

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Wealth management associate provides compliance advice with regards to applicable rules and regulations from Singapore perspective, as well as internal compliance policies and procedures, for Wealth Management (“WM”) business;.

Wealth Management Associate Duties & Responsibilities

To write an effective wealth management associate job description, begin by listing detailed duties, responsibilities and expectations. We have included wealth management associate job description templates that you can modify and use.

Sample responsibilities for this position include:

Local or regional travel may be required
Partner with a Sr
Independently manage a small book of clients by conducting all aspects of relationship management
Relationship Management and Client Service
Trust/Account Administration and Advice
Complex Analysis, Advanced Administration and Project Initiatives
Execution of controls over various critical investment related processes including but not limited to trade suitability review, order taking validation, accuracy and completeness of trade disclosures, account activity review, errors and complaints management
Participate in various control governance programs (ie
Support the Financial Advisor with financial reports that will be used for professional consultations with their clients
Organize, set agenda and prepare materials for the team management meetings, leadership events

Wealth Management Associate Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Wealth Management Associate

List any licenses or certifications required by the position: PLANNER, FINANCIAL, CERTIFIED, CFA, PMP, MBA, CAMS, CFP, CRS, CPA

Education for Wealth Management Associate

Typically a job would require a certain level of education.

Employers hiring for the wealth management associate job most commonly would prefer for their future employee to have a relevant degree such as Collage and Bachelor's Degree in Finance, Business, Accounting, MBA, Management, Economics, Financial Planning, Education, Graduate, Marketing

Skills for Wealth Management Associate

Desired skills for wealth management associate include:

Applicable compliance rules and regulations and firm policies
All associated regulatory requirements
Compliance and operational procedures
Departmental operations/policies and bank products/services
Financial services industry
Internal administrative
Internal policies
Investment advisory and brokerages services
Procedures
Specifically with banking

Desired experience for wealth management associate includes:

OLeads the 90-day client on-boarding process
OWorks in collaboration with team members to ensure alignment and exchange information and resources necessary to meet shared objectives
OAddresses developmental needs and knowledge gaps as requested by manager and the Private Bank
OChampions the Bancorp Vision and Core Values through personal actions and leadership influence to promote high-performing work groups
Motivation to expand skills and knowledge to include activities such as outreach, delivering financial plans and advice, growing share of relationship/selling financial solutions
Industry designations such as Certified Financial Planner (CFP), Chartered Financial Consultant (ChFC), Chartered Mutual Fund Consultant (CMFC), are preferred

Wealth Management Associate Examples

1

Wealth Management Associate Job Description

Job Description Example
Our growing company is hiring for a wealth management associate. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for wealth management associate
  • Interview prospective borrowers in order to analyze financial and credit data and advise customers of product/pricing policies and guidelines, and gather any additional required information
  • Contributes to WM operations team effort by providing support to our PBs and FCs
  • Communicates clearly and effectively about new product enhancements effectively with commercial branches, Branch Managers, and branch staff
  • Promotes customer service excellence, exceed expectations of internal and external customers
  • Ability to educate a HNW customer on a service or product solution in clear, concise terms
  • Adheres to bank policies, regulatory agency guidelines and CE requirements
  • Handles complex HNW client inquiries, resolve client issues, and ensure client satisfaction
  • Contributes to overall team success and effectiveness, forms strong partnerships and successful integration with CBC and branch network
  • Partner with remote teams in Finance and other functions to ensure accuracy and timely delivery of regulatory submissions and ad hoc requests
  • Execute regional and global projects in responding to regulatory reporting and changes
Qualifications for wealth management associate
  • Having passed the Series 6 and 63 would be a plus
  • Member of professional bodies, CPA or CFA
  • 1-3 years of experience in private banking
  • Ability to think creatively and recommend process improvement
  • Produce weekly and monthly financial updates for the Wealth Management Operating Committee
  • Support WM CFO on a variety of projects and strategic initiatives (e.g., Senior Management Presentations, Town Halls, Annual Plan Process)
2

Wealth Management Associate Job Description

Job Description Example
Our growing company is searching for experienced candidates for the position of wealth management associate. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for wealth management associate
  • Participate in user acceptance testing for any regulatory related enhancement
  • Partner with the global team and to provide MIS support for events and marketing team
  • Any ad hoc projects and initiatives
  • Ensure that the sales process is proactive and timely
  • Research prospects through Factiva and Lexus Nexis
  • Work with prospect database to implement proactive DRIP campaign to convert leads into prospects
  • Set up files on new business prospects
  • Communicate with internal partners on all aspects of a prospect/client relationship
  • Develop in-depth knowledge of a full range of trust-oriented services
  • Lead sales calls and present to COIs/prospects without the assistance
Qualifications for wealth management associate
  • Track and monitor WM finance priorities
  • Coordinate finance RCSA and periodic audits
  • Enhance financial reporting used by Wealth Management Leadership
  • Develop market and advisor level summary metric reporting
  • Assist in strategic & ad-hoc projects for WM Group CEO
  • Coordinate weekly and monthly WM OC agenda and materials (backup)
3

Wealth Management Associate Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of wealth management associate. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for wealth management associate
  • Client portfolio analysis and reporting
  • Putting together presentations for client meetings and investment proposals
  • Market research on stocks, bonds, funds, etc…
  • Formulating trading recommendations to senior team members based upon available market research
  • On top of the daily administrative issues and client queries, the role requires extensive commitment to furthering ones knowledge of investment products, financial markets and global economics
  • Utilize learning industry software to build interactive and robust courses in a variety of formats including virtual, e-learning, telepresence, and classroom
  • Use storyboards, graphics, audio and video files, interactivity, and animations to construct courseware
  • Facilitate new hire, skill enhancement and initiative-specific training programs with audiences ranging from individual contributors to managers
  • Conduct needs assessments with internal clients to identify performance gaps and implement solutions tailored to the stakeholders’ training requirements through focus groups, workshops, surveys, and individual interviews
  • Manage new hire onboarding and licensing registration process from start date to training and securities registration completion
Qualifications for wealth management associate
  • 1 to 3 years of financial services experience at a brokerage firm or registered investment advisor/manager preferred
  • New accounts or client onboarding experience a plus
  • Ability to travel to other locations where resources may be needed
  • Strong understanding of compliance and new hire requirements preferred
  • Prior experience working with investment professionals a plus
  • Ability to work with a virtual team of Subject Matter Experts across departments
4

Wealth Management Associate Job Description

Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of wealth management associate. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for wealth management associate
  • Manage multiple training program development projects ranging up to high complexity/high impact
  • Coordinate training sessions with internal business partners, includes details such as location, logistics, set-up, and materials
  • Coaching of new hire trainees
  • Responsible for learning@jpmc LMS administration including adding courses to database, managing attendance, performing evaluations
  • Analyze data from a variety of sources and compile reports to track new hire onboarding and learner progress through their assigned training plan
  • Examine course feedback and metrics to assess training participation, effectiveness, and ensure that appropriate outcomes/improvements have been attained
  • Troubleshoot technical issues related to courses, sites, LMS, and telepresence units
  • Ensuring all daily processes and SLAs are met within applicable timeframes
  • Manage day to day BAU in line with team objectives and regulatory requirements
  • Maintaining a culture of high performance and excellent service for both internal and external clients
Qualifications for wealth management associate
  • High-energy and hands-on individual with at least 3-4 years relevant work experience in Private Banking Risk Management or other Risk Management capacities, Compliance, Operations, or Audit
  • Proficient in Microsoft Excel, using advanced formulas, vlookup, pivot tables
  • 1-3 years of trust sales or trust relationship management experience
  • Basic knowledge of personal financial planning, trust and investment products and services are required to perform primary duties
  • The ability to successfully multitask, keeps organized, and responds to clients in a timely manner through written correspondence or via telephone
  • Prior trade execution experience
5

Wealth Management Associate Job Description

Job Description Example
Our growing company is hiring for a wealth management associate. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for wealth management associate
  • Provide exceptional client service support to internal and external clients alike
  • Liaise with various departments across the wealth management business
  • Deceased Estates processing
  • Chess Sponsorship
  • Intermediary & External Planner administration
  • Facilitate all aspects of client on-boarding and on-going account administration
  • Work with clients to develop long term relationships producing regular sales activity and revenue
  • Attract new customer assets under management to the company for investment in equities or related products offered by the company
  • Works with the CFO support team for the branch network, managing strategic and ad hoc data analytics for product areas and senior management
  • Produce monthly reports and participate in monthly meetings sharing financial reviews for each business
Qualifications for wealth management associate
  • Ability to manage multiple projects and deadlines simultaneously, and to work under pressure
  • Motivated and proactive mindset
  • Additional language skills – fluency in Russian, Greek or Turkish desired
  • Strong understanding of the PBRM / IRM business model, needs and key drivers the sales process
  • Previous CWM brokerage service center operations experience required
  • Strong Microsoft Office skills – Word, Excel, Access, PowerPoint

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