01/07/2022
A top, nationally recognized, boutique Wealth Management firm in downtown Milwaukee looking to add an Investment Operations Associate to our growing multi-generational team
Role Overview
This role provides investment operational support to the firm’s advisors allowing them to deliver exceptional financial and investment planning, advice, and customer service thereby building strong relationships with our clients. This role provides specialized support related to investment client services as part of the investment operations team responsible for daily customer service and support for new and existing client relationships.
Investment Operations
• Involved in all aspects of client accounts, asset paperwork and money movement
• Preparing and processing all paperwork needed for investment/advisory accounts as part of the investment account opening process in working with clients and advisors to gather all pertinent information
• Involved in the processing and monitoring the funding of advisory/brokerage accounts and asset transfers to ensure selected asset allocation is implemented
• Identifying necessary forms and actions needed for each investment planning opportunity and providing appropriate forms to clients to review and sign
• Receiving, managing, and directing checks and related paperwork to investment operations area
• Work directly with clients to receive and send funds via ACH, Wire, Checks, Rollovers
• Processing brokerage and advisory trades
• Administering advisory accounts according to program guidelines
Client Service
• Corresponding with clients to handle advisory/brokerage-related service issues
• Formulating advisory/brokerage product solutions
• Executing redemptions/withdrawal orders from clients
• Discussing tax consequences, costs, and advisory fees with client
• Maintaining daily investment systems for account follow-ups and service requirements
• Running performance reports in Envestnet, Morningstar, and NMCIR
• Attend client meetings when necessary to help present investment proposals and assist in meeting documentation and follow up
Required Skills and Experience
• Excellent written and verbal communication skills
• Client-first attitude, professional demeanor, high level of personal integrity and an understanding of fiduciary responsibility
• Team player mentality and attitude of accountability
• Strong attention to detail with the ability to work with a high degree of accuracy
• Ability to multi-task and manage time effectively
• Self-motivated and confident
• Excellent oral and written communication skills
• Practice active listening and communicate in a direct manner
• Manage multiple diverse projects and assignments in a timely and quality manner
• Work independently and on a team
• Ability to embrace change and work in a fast-paced environment
• Willingness to learn and stay current with industry/company regulations and help facilitate business while adhering to all compliance guidelines
• Ability to maintain confidentiality
Qualifications
• Bachelor’s Degree (Preferred Concentration: Finance, Economics, Operations, Business Administration)
• 1-2 years financial services or securities industry experience preferred
• Series 7 and series 63 licenses or gain licensing within 6 months of employment
FIRM OVERVIEW
Prescient Financial Solutions helps pre-retirement individuals, business owners, corporate executives and those becoming affluent to manage the accumulation, distribution and succession of their wealth. With our attention to detail and uncanny knack of envisioning potential variables, we act as financial engineers who craft integrated plans and consistently fine-tune them for optimized results. Prescient Financial Solutions has been named to the elite list of Top 400 Financial Advisors in the country by the Financial Times and is part of Northwestern Mutual’s Private Client Group representing the top 3% of the firm. Prescient Financial Solutions currently manages $850MM+ in client assets. Headquartered in Milwaukee, WI.
Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company, Milwaukee, WI (NM) (life and disability insurance, annuities and life insurance with long-term care benefits) and its subsidiaries. Jerry David is an Associate Insurance Agent of NM and Northwestern Long-Term Care Insurance Company, Milwaukee, WI (long-term care insurance), a subsidiary of NM. Registered Representative of Northwestern Mutual Investment Services, LLC (securities), a subsidiary of NM, broker-dealer, registered investment adviser, member FINRA and SIPC. Representative of Northwestern Mutual Wealth Management Company®, Milwaukee, WI (fiduciary and fee based financial planning services), a subsidiary of NM and federal savings bank. There may be instances when this agent represents companies in addition to NM or its subsidiaries
