Wealth Management Administration Assistant
Green Hills, Nashville, TN, US
This position demands sharp attention to detail and well-developed interpersonal skills working closely to support the registered Wealth Advisor. Provides daily administrative support by processing and following up on operational and based tasks.
- Account Operations: Prepare client onboarding and maintenance documents; obtain signatures from clients and process accurately. Ensure client account information is up to date. Schedule and prepare for meetings with clients, prospects and partners.
- Client Service: Provide exceptional client service by developing and maintaining strong customer relationships; take ownership of resolving client inquiries and identify opportunities to deepen client relationships with other solutions provided by CapStar.
- Client Maintenance and Retention: Correspond with clients according to our service model to give account updates, market commentary and investment suggestions (if applicable).
- Trading: (If appropriate licenses are held): Execute client trades with the utmost accuracy and ensure timely settlement and commission reconciliation.
- Compliance and Organization: Follow and abide by all Investment/FINRA/Branch related policies and procedures.
- Marketing: Facilitate marketing campaigns, client events, seminars and outings.
- Business Development: Engage your network outside of CapStar for opportunities to earn their business. Engage internal lines of business partners; work with the Retail Financial Centers to educate and train employees.
- Problem Solving: Anticipate potential complications and find appropriate solutions.
- Reporting: Prepare and distribute various reports (I.e. Pipeline, Correspondence, Commission, Compliance, Expenses and others).
- Culture Compatibility: Must be able to work in a team environment with the ability to partner with co-workers and management. Need to have flexibility with scheduling.
- Attend all BSA training (at least annual) offered through the bank. More frequent and/or specific training may be required, depending on job responsibilities. Perform job responsibilities to ensure the bank’s compliance with BSA/AML policies and procedures, which include detecting potential suspicious activity and reporting such activity to the BSA Officer and may include gathering and entering data into systems for monitoring and reporting.
Note: Incumbent may be asked to perform other non-essential duties as assigned.
Bachelor’s degree required
Prior Brokerage Industry experience preferred with emphasis on customer service and sales.
FINRA Series 7, 66 (or 63 and 65) and appropriate State required insurance licenses are preferred.
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