Broker Check

Wealth Management Associate


The Wealth Management Associate [WMA] is responsible for attending client review meetings, updating/presenting financial plans and articulating the CWM investment philosophy. The WMA must be able to think on your feet and be able to discuss a wide variety of financial planning and portfolio management topics. The WMA must also be able to follow up and complete intermediate to advanced level client service tasks. The WMA will transition from a support role to a lead role over time on various client relationships and will be responsible for providing clients with a trusted advisor experience. The WMA will shadow and assist WM’s and Sr. WM’s as they prepare to become WM’s. This position requires a high performer who can handle high volume, complex work with a low error rate and someone who embodies the CWM Core Values.

Essential Job Functions & Duties:

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily.

  • Prepare client financial plans
  • Attend and hold client review meetings
  • Research and resolve client financial issues
  • Communicate across teams and business lines as needed to effectively support client relationships and firm projects
  • Provide excellent customer service and assist with answering questions.
  • Gather additional AUM from existing clients
  • Support business development programs including developing centers of influence and referrals
  • Maintain up to date calendar to include appointments, tasks and internal meetings
  • Stay up to date on current events, the market and the economy
  • Ensure regulatory compliance is followed.
  • Establish, maintain and update files, databases, records and/or other documents.
  • Operate standard office equipment and use the required software applications.
  • Attend Client functions, as assigned, which may be outside of normal office hours including weekends
  • Uphold CWM Core Value tenets
  • Other duties as assigned.

Required Knowledge, Skills and Abilities:

The requirements listed below are representative of the knowledge, skill, and/or ability required in this job position.

  • Willingness and desire to learn
  • Ability to adapt and integrate new technology quickly
  • Strong problem solving skills
  • Strong communication and people skills
  • Dedication to accuracy and detail
  • Comfortable addressing change and identifying and offering solutions
  • Organized and able to manage multiple tasks/projects
  • “Team player” mindset, willingness to do whatever is needed, big or small.
  • Uphold a professional image with external and internal business contacts.
  • Work ethically while maintaining the highest level of discretion with confidential and sensitive information.
  • Professional, service-oriented demeanor with pleasant, business-appropriate phone manners.
  • Strong verbal communication skills to express ideas and thoughts in a clear, professional manner.
  • Demonstrate financial planning competence
  • Ability to follow process and procedures

Minimum Education and Experience:

  • Bachelor’s degree in Finance or related field required
  • CFP® Certificant
  • 3 or more years of financial industry experience preferred
  • Proficiency in Microsoft Excel, Word, and Outlook.
  • Series 7, 63 and insurance license required (if not currently licensed, will be required within 12 months of hire)
  • Schwab Advisor Center experience preferred
  • Experience with Salesforce CRM preferred

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