Job Summary:
The Investment Associate provides sales and administrative support to one or more Financial Consultants. Responds to client inquiries (verbally or in writing), provide quotes, runs various reports, monitors accounts, and enters trades as requested. Performs client servicing and records administration. Assists with new business initiatives as assigned. Functions as part of a larger team dedicated to achieving overall sales goals. Ideal entry-level position for candidates seeking to better understand the financial planning and advising industry. Opportunity to progress into a financial advisor role.
Job Duties and Responsibilities:
- Provides daily administrative support for one or more Financial Consultants. Processes all incoming business with follow-up to Financial Consultant and dealer or client as needed. Process trade orders and execute client trade requests.
- Provides direct support to Financial Consultants by responding to client inquiries, processing new accounts, obtaining necessary account documents, resolving inquiries, and processing account transfers.
- Processes orders for existing clients and answers questions regarding Hudson Oaks' products and services.
- Performs clerical and administrative tasks, including the preparation and processing of correspondence and communications. Prepares various reports and daily filing of client information.
- Communicates daily with clients providing trade settlement information, coordinating the payment and delivery of funds, providing portfolio information, and other requests. Schedules all appointments and prepares materials for client meetings and seminars.
- Creates reports for Financial Consultants regarding market conditions, sales results, and team earnings as requested. Organizes and updates product information.
- Each team member is expected to be aware of risk within their functional area. This includes observing all policies, procedures, laws, regulations, and risk limits specific to their role.
- Performs other related duties as required.
The information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.
Minimum Education: Bachelor's degree OR an equivalent combination of education and experience.
Preferred Experience: Two years of sales support experience in the financial services industry.
Preferred Knowledge, Skills, & Abilities:
- Excellent communication and people skills.
- Comfortable in talking with clients over email, phone, or face-to-face.
- Seeking to advance into an advisor career in the future.
- Self-motivated and organized.
- Ability to work as a part of a team.
- Knowledge of securities compliance.
- Proficiency in using Microsoft Office software products.
- Certification(s): Series 7 and 63 or 65 or 66 licenses, or actively seeking to obtain within the next 6-10 months.
Company Summary
Hudson Oaks Wealth Management is a financial planning firm located in Lehi, Utah serving clients in Utah and beyond. Hudson Oaks seeks to form relationships with business owners, accredited investors, and pre-retirees. The company supports brokerage, retirement, and alternative investment programs and products to help clients reach their current- and long-term financial goals. Hudson Oaks is growing at a fast pace and is looking to add to its team by hiring dedicated and driven individuals to support this growth.
Benefits
- 401(k) with company match (eligible upon 3 months of employment)
- Full-time employee health stipend (eligible upon 3 months of employment)
- Licensing Reimbursement (terms apply)
Full-time or part-time position, depending on availability. Salary depends on experience.
Starting salary for full-time, DOE: $22/hr