An Associate with Stoker Ostler Wealth Advisors provides administrative and operational support for one or more Portfolio Managers in the delivery of financial and investment planning and advice to deliver an exceptional customer experience. Works collaboratively within the assigned teams. Primary responsibilities include each of the following:
- Meetings: Schedule client meetings, prepare client meeting materials, and complete follow-up items. Update CRM accordingly.
- Client Service: Prepare new account applications, handle account transfers, initiate and track money transfers, answer routine client questions, and create Investment Policy Statements (IPS) & IPS Addendums. Communicate with clients to address concerns and confirm transactions.
- Marketing: Prepare new prospective client forms and applications, including necessary disclosures. Further assist in successfully completing new client onboarding process and subsequent follow-up items.
- Year-End Items: Provide back-office assistance for clients making family and charitable gifts, required IRA distributions, ROTH IRA conversions, and capital gains management. Update CRM and send letters of confirmation.
- Reporting: Provide client investment reports, performance reports, or other tax reporting info for select Portfolio Managers, as needed.
- Annual Account Reviews: Follow up on tasks generated from comprehensive, annual client account reviews that meet compliance standards for all managed and courtesy clients for select Portfolio Managers.
- Portfolio Re-balancing: Assist in portfolio re-balancing process, trading, and cash management tools as needed.
- Financial Planning: Assist in preparing financial planning documents, including statements of financial objectives, net worth statements, retirement models, and cash flow models.
Qualifications
- Bachelor’s degree required with major in Business or Finance preferred.
- 1+ years financial and/or investment management industry experience preferred.
- Knowledge of the investment industry.
- Interest in CFP, CFA, CPA or MBA preferred.
- Strong presentation skills; both written and verbal.
- Excellent communication and interpersonal skills: writing emails, letters; skilled in both group and one-on-one communication.
- Exceptional organizational skills.
- Effective time management, prioritization, and multi-tasking.
- Strong attention to detail.
- Work independently, in teams, and cross-functionally.
- Highly proficient in Microsoft Office Applications: Word, Excel, PowerPoint.
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