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Years of Experience
Date Last Verified
ProfileWealth Solutions Case Manager III Duties: Under general direction with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience, to evaluate and coordinate client cases brought by Financial Advisors to the Wealth Solutions group for assistance and provides solutions to wealth management issues. Will consult with financial advisors and their clients regarding overall wealth management products and services. Leads major projects, programs or processes with significant business impact involving cross-functional teams. Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems or needs. End results are evaluated for achieving goals and objectives. Extensive contact with external clients is required. Builds and maintains relationships with financial advisors to assist with the generation of new assets. Educates financial advisors on the benefits of offered wealth management products and services for their clients through individual or group meetings presentations, including branch visits, seminars and conferences/trade shows. Facilitates meetings with advisor and client to present overall wealth management products and services. Gathers data on specific high net worth client cases, compiles case notes, schedules communications with financial advisors and maintains records. Conducts research as needed related to assigned client cases, including but not limited to complex tax and estate planning questions and other legal issues. Collects various proposals and analyses from relevant departments to integrate in client presentation materials. Manages the tracking of open client cases, as well as assets and business generated from successful cases. Handles financial advisor communications on Group's roles and capabilities. Understands and recommends available marketing materials and strategies. Presents wealth management activities at necessary meetings. Generates ad hoc reports on the status of wealth management cases. Performs human resource management activities, including identifying performance problems and approving recommendations for remedial action; evaluating performance; and interviewing and selecting staff. Plans, assigns, monitors, reviews, evaluates and leads the work of subordinates, providing training if necessary. Coaches and mentors subordinates and identifies training needs and creates development plans. Performs other duties and responsibilities as assigned.
Qualification and Experience
Qualifications: Bachelor's Degree (B.A.) in finance or related field and 5-7 years of wealth management or financial planning experience. or Any equivalent combination of experience, education, and/or training approved by Human Resources. FINRA Series 7 License and the ability to obtain other necessary license if needed as required by management. JD Degree, Certified Financial Planner (CFP), Chartered Financial Analyst (CFA) or other combination of designations and experience approved by the hiring manager. Knowledge of: Company's working structure, policies, mission, and strategies. Advanced principles of banking and finance and securities broker/dealer operations. Advanced economic and accounting principles and practices, the financial markets, investments and insurance based products. Advanced concepts and regulations related to wealth management and financial planning. Advanced legalities of complex tax and estate planning. Skill in: Identifying the needs of customers through effective questioning and listening techniques. Assessing associate performance and developing a career path. Preparing and delivering clear, convincing and professional presentations to small and large audiences. Organizational and time management sufficient to prioritize workload, handle multiple tasks, and meet deadlines. Detailed orientation to ensure quality standards are met without impairing workflow. Following-up to ensure resolution and completion of tasks. Problem solving sufficient to effectively analyze, research and resolve inquiries and issues in a timely manner. Analyzing business processes and identifying process improvement opportunities. Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, and spreadsheets. Ability to: Incorporate the financial needs and goals of a client into a succinct, professional presentation outlining their options. Promote team cohesiveness, cooperation and effectiveness. Lead a team of professionals effectively. Identify and position the products and services brokers use in financial planning. Grow a territory as measured by sales and persistency of business. Represent the company in a highly professional manner. Travel frequently with little advance notice. Read and interpret technical and legal documents, and apply the information as appropriate. Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment. Use oral and written communication skills sufficient enough to interact effectively with and guide Financial Advisors and their clients on various wealth management options. Provide a high level of customer service in a calm, courteous and professional manner. Establish and maintain effective working relationships at all levels of the organization. Work independently as well as collaboratively within a team environment.