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Licensed Client Relationship Manager

Company: Carolina Wealth Stewardship Group
Location: Raleigh
Posted on: November 22, 2021

Job Description:

Registered Client Relationship Manager: SCOPE AND RESPONSIBILITIES: Carolina Wealth Stewardship Group is a financial advisory practice and is searching for a partner to join our increasing team of dedicated financial professionals. Primary responsibilities will consist of general servicing and support of the Financial Advisors. This includes administrative and operational support, business development assistance, and providing a consistent and effective level of client servicing. The CRM works across all servicing teams and reports to the Director of Client Development. The position offers a high degree of autonomy and potential for career and personal growth within a rapidly growing firm.AREAS OF RESPONSIBILITY INCLUDE: -- - Ensure new business paperwork is accurately submitted. This includes preparing forms to be presented to clients, obtaining appropriate signatures, submission and follow-up of new account documentation.-- - Assist Financial Advisors in servicing clients including preparing financial plans, conducting investment research and completing client trades and transactions.-- - Receive and place orders as directed from Financial Advisor and assigned clients. Reply to queries regarding general market information such as quotes and news, as well as trading and order features such as GTC expiration dates and settlement.-- - Enter Client data in SalesForce, create meeting agendas and summaries, prepare/coordinate marking events and perform general administrative functions such as answer and return calls, prepare routine client correspondence, and perform maintenance of client records.-- - Use product and industry knowledge to identify existing client, account, and product attributes that present solutions potential.-- - Submit and process certain operational requests as instructed by the Financial Advisor and/or client. These may include: funds distributions, deposits of checks, journals, client and account updates, ACAT initiation and other operational tasks.-- - Work in coordination with the Financial Advisor to ensure certain reports are reviewed and addressed, such as insufficient funds for periodic distributions and RMDs not met.-- - Provide operational guidance to Financial Advisors ranging from systems navigation to document fulfillment.-- - Mitigate risk through industry appropriate standards.-- - Maintain a professional environment and create a positive impression.-- - May assist with physical branch location needs, such as opening, closing, general requests for maintenance or service.Perform other duties as requestedQUALIFICATIONSRequired Qualifications:-- - Bachelor's degree or equivalent experience and related training.-- - Experience in the securities industry and/or a sales assistant role.-- - Knowledge of securities markets and brokerage accounts.-- - Knowledge of the features and attributes of annuity products.-- - FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses (or ability to obtain Series 7 and Series 66 licenses with 90 days of hire).-- - Ability to pass intensive background screening-- - Exceptional telephone skills and the ability to appropriately interact with clients of all experience levels regarding securities transactions and brokerage accounts.-- - Self-starter, organized, and able to set priorities-- - Ability to work independently and still communicate effectively and professionally with clients, advisors and other teammates.-- - Demonstrated proficiency in basic computer applications, such as Microsoft Office software products.Preferred Qualifications:-- - Three to Five years of experience in the securities industry.-- - Bachelor's degree in business, accounting, finance, banking or equivalent education and related training.-- - Industry designations such as CFP-- -, AIF, CPWA, CIMA, CRPC, ChFC, CPA, among othersSalary and compensation-- - Base salary plus Bonus based on personal and company metrics and achievements-- - Life & Health insurance benefits-- - SIMPLE IRA match after one year.-- - Company paid training-- - Opportunity for advancement within the financial planning fieldJob Type: Full-timePay: $40,000.00 - $55,000.00 per yearBenefits:401(k)401(k) matchingDental insuranceDisability insuranceHealth insurancePaid time offProfessional development assistanceRetirement planVision insuranceSchedule:Monday to FridaySupplemental Pay:Bonus payEducation:High school or equivalent (Preferred)Experience:Financial planning: 2 years (Preferred)Financial services: 2 years (Preferred)License/Certification:CFP (Preferred)FINRA License (Preferred)Work Location:One locationWork Remotely:Temporarily due to COVID-19

Keywords: Carolina Wealth Stewardship Group, Raleigh , Licensed Client Relationship Manager, Executive , Raleigh, North Carolina

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