WM Affluent Associate

Jobtailor; Chicago (IL); On-site; USD 50,000 - 75,000; Full time

Job summary

Jobtailor in Chicago seeks a dedicated administrative and client-support specialist to assist Investment Relationship Managers with sales, processing, and operations.

You will prepare investment proposals, manage client files, coordinate appointments, and support marketing and business development initiatives while ensuring compliant record-keeping and excellent client service.

Qualifications

• Five+ years of investment industry experience preferred.
• FINRA registrations and state licenses are required.
• Knowledge of investment advisory and brokerage services.
• Strong understanding of regulatory standards and internal procedures.
• Excellent communication, organization and relationship-building skills.

Responsibilities

• Provide sales, processing, operational, administrative and customer service support to Investment Relationship Managers.
• Make and track appointments and prepare investment proposals and routine correspondence.
• Organize paper flow according to firm record-keeping requirements.
• Maintain client files and respond to inquiries; answer phones and manage mail.
• Assist with business development and meet with prospects and existing clients.
• Coordinate marketing campaigns and joint business initiatives with internal departments.

Skills

Investment industry experience

Client relationship building

Sales support

Appointment tracking

Administrative skills

Education

FINRA SIE

Series 7

Series 63

Series 65/66

Life license

Variable life license

Health license

Disability license

Job description

• Provide sales, processing, operational, administrative and customer service support to Investment Relationship Managers
• Make and track appointments
• Prepare investment proposals, reviews and routine correspondence
• Organize paper flow according to firm record-keeping requirements
• Maintain client files and supplies
• Answer phones and open and disseminate mail
• Assist with business development at the direction of Investment Relationship Managers
• Meet with existing or new prospects
• Contact existing clients to review current relationships
• Plan and coordinate marketing campaigns and business development seminars
• Meet with internal departments to discuss joint business initiatives

Requirements

• High school diploma or equivalent
• Five or more years of investment industry experience preferred
• FINRA SIE, Series 7, Series 63 and 65/or 66 registrations
• Life, variable life, health and disability licenses
• Strong knowledge of the financial services industry, specifically investment advisory and brokerage services, internal policies, procedures, and associated regulatory requirements
• Experience with brokerage industry policies, processes and procedures, FINRA and SEC regulatory standards and applicable regulatory bodies
• Deep understanding of the Wealth Management Advisor's business model, needs, key drivers and sales process
• Considerable knowledge of internal administrative, compliance and operational procedures
• Strong communication, organization, problem-solving, prioritization, follow-up and relationship-building skills

Core Competencies

Demonstrates expertise in investment advisory and brokerage services, with a strong understanding of regulatory requirements and compliance procedures. Capable of providing comprehensive administrative and customer service support while effectively coordinating business development initiatives.

Highest-signal resume keywords

• Investment Industry Experience
• FINRA SIE Registration
• Series 7 Registration
• Series 63 Registration
• Series 65/66 Registration

Hard Skills

• Investment Proposal Preparation
• Client File Management
• Appointment Tracking
• Marketing Campaign Coordination
• Business Development Support

Soft Skills

• Strong Communication Skills
• Organizational Skills
• Problem-Solving Skills
• Relationship-Building Skills
• Prioritization Skills

Certifications & Qualifications

• Life License
• Variable Life License
• Health License
• Disability License

Industry Keywords

• Financial Services Industry
• Investment Advisory
• Brokerage Services
• FINRA Regulatory Standards
• SEC Regulatory Standards
• Wealth Management Advisor
• Compliance Procedures
• Operational Procedures