ICS is partnered with a growing wealth management firm and is seeking a dedicated individual to assist the team of Financial Advisors and support clients in reaching their financial goals. This is your chance to play a key role in the future success of a fast-growing organization. The ideal candidate will be passionate and eager to succeed.
Communicates, implements, and ensures compliance with guidelines and policies:
Maintains compliance policies and documentation.
Oversees the compliance and advertising approval process.
Oversees trading for the office:
Places trades and rebalances accounts.
Reviews account confirmation statements.
Sends trading-related correspondence to clients.
Communicates with clients in person, in writing, and over the telephone. Meets with clients to complete paperwork and attends periodic client update meetings.
Manages new business functions:
Meets with clients and starts new client forms processing.
Follows up with clients as needed to make sure all paperwork is processed.
Handles training and continuing education for the firm.
Coordinates team meetings:
Disseminates minutes, resulting tasks, and timelines for completion.
Develops and maintains written documentation (systems) of all activities.