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    Associate Wealth Management Advisor - Raleigh, United States - Northwestern Mutual

    Northwestern Mutual
    Northwestern Mutual Raleigh, United States

    1 week ago

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    Description
    Job Description


    Job Description Salary:
    Overall Function
    Lesley Day's Wealth Management Practice is seeking an Associate Wealth Management Advisor to join their team.

    This individual will assist with meeting preparation, join the lead wealth management advisor on prospect and client meetings, and act as a liaison between the lead advisor and clients.

    They will eventually grow into a lead advisor and oversee the planning process for their own book of business.

    Specific responsibilities may include but are not limited to:

    Support
    Handling case notes, processing correspondence, maintaining client case files and filing performance reports, account forms, and other paperwork
    Growing into lead advisor role, which will involve:

    Maintaining knowledge of and showing ability to apply compliance standards
    Engaging and ensuring team alignment and actions are consistent with firm branding, service standards, and initiatives
    Responsible for development of appropriate performance results from team, particularly from service advisors and other client service personnel
    Directly responsible for client satisfaction with firm and retention of client accounts
    Supervising and directing team in regard to all client matters
    Responsible for increasing assets under management from assigned client base
    Responsible for finding new revenue opportunities to service existing clients more effectively
    Responsible for connecting to heirs of clients and engaging those heirs with firm
    Responsible for building Loyal Client Advocates and producing new clients through those relationships
    Publicly representing the firm's strategic brand
    Serving as firm's most primary client facing point of contact on behalf of firm and client relationship team
    Focusing on complete client care and delivering on promises made to client
    Participating and contributing to firm leadership
    Maintaining familiarity with industry and economic trends and applying knowledge to client service and relationships

    Proposal and Case Preparation
    Prospecting for new clients and eventually overseeing the process for their book of business
    Gathering information for meetings with client/prospect
    Preparing annual review information
    Preparing and modifying planning proposals and

    investment/advisory

    proposals
    Preparing investment policy statement, needs-based analysis or financial plan
    Recommending fund portfolio options

    Processing Accounts
    Preparing and processing all paperwork needed for

    investment/advisory

    accounts
    Implementing initial and subsequent asset allocation trades
    Discussing potential rollover opportunities from other retirement plans for variable and mutual funds
    Processing proposal amendments, monitoring alerts and annual reviews in Envestnet
    Executing buy or sell orders and rebalancing orders in Envestnet and maintaining asset allocation
    Following up on trade rejects and resolving all trade-related issues
    Monitoring holdings for program eligibility and administering advisory accounts

    Advisory Client Meetings
    Meeting with prospects and clients for fact finding and conducting existing client reviews
    Completing risk tolerance (personal profile) questionnaire with client
    Making security recommendations and modifying asset allocations for existing client accounts
    Joining lead advisor in client meetings for financial plan development or presentation

    Client Service
    Corresponding with clients to handle service issues
    Contacting clients or prospects for developing advisory plan and providing technical explanations of investment plan
    Explaining advisory products or advisory performance to existing clients
    Providing services and administering advisory products
    Accepting

    redemptions/withdrawals

    from clients and communicating instructions to home office
    Discussing tax consequences, costs and advisory fees
    Maintaining tight system for account follow-ups and service requirements
    Running performance reports in Envestnet, Morningstar and NMCIR

    Qualifications & Competencies
    Life, Health and Long Term Care insurance licenses preferred
    Series 7 preferred or willing to obtain within 6 months to 1 year

    Willingness to obtain additional licenses and designations

    Full range of financial services knowledge and expansion of that range
    Excellent oral and written communication skills; Approachable, respectful, and inclusive communication
    Ability to apply financial service knowledge to specific client situations
    Relationship building and expansion, and ability to engage and align others
    Strong critical thinking, financial analysis and problem-solving skills required
    Ability to manage multiple diverse projects and assignments in a timely and quality manner
    Strong attention to detail with the ability to work with a high degree of accuracy
    Demonstrated ability to maintain effective working relationships with clients
    Ability to look beyond the obvious and not stop at the first answers
    Ability to embrace change and work in a fast-paced environment
    Able to work both independently and in a team
    Ability to maintain confidentiality
    Oversight and development of client service, management, and investment plans
    Develops self and others
    Effectively coaches and mentors others
    Sets and models high performance standards
    Self-confidence/self-esteem combined with emotional intelligence
    Works collegially and productively with clients, peers, and other team members
    Trustworthiness and integrity


    EDUCATION
    Bachelor's degree or equivalent required.

    #J-18808-Ljbffr
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