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Private Wealth Investment And Relationship Management Analyst
San Francisco , CA 94102
Posted 3 days ago
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The Analyst (Registered) is a fully paid or firm paid (exception only), salaried, exempt position on the Financial Advisor Team to further develop and service their client base. The Analyst is responsible for implementing and executing the Optimal Practice Model (OPM) in their specific functional role (i.e. Business Development, Business Management, Relationship Management or Investments). Specific accountabilities for the role may vary depending on the teams practice. Performance is measured by the FA or FA team, along with OMT, through specific goals, metrics, and behavior related to the execution of the OPM function. The Analyst (Non Registered) is a non-exempt position for a non -licensed hire lacking a license and/or designation, until fully licensed and designation achieved. The Analyst (Registered) is a non-exempt position for licensed employees that are in progress of completing their designation in 12-months.
Analyst- Relationship Management (Exempt)
- Define and deliver consistent ongoing c communication and engagement plan
- Discuss fees charged and rationale regularly, and review platform and pricing on an ongoing basis
- Deepen client relationships through ongoing profiling and identification of client needs, by creating a robust electronic profile form where information is captured and proactively updated on a regular basis
- Plan and hold appreciation events and/or seminars and individual social outings to various client segments, and invite clients based on their needs/interests.
- Leverage partners/specialists to identify opportunities with existing clients reviewing clients situation with specialists on a regular basis
Maintain documentation of all client interactions in Salesforce, making full use of notes, assigned follow-ups, etc.
Analyst- Business Development (Exempt)
- Identify target client segment/market niche and establish strong reputation within markets
- Develop and maintain value proposition, marketing plan and branding within chosen market
- Create and follow client acquisition plan, identify activities, specify and track progress towards quantifiable goals.
- Proactively generate leads and referrals through centers of influence,events, referral alliances, targeted seminars strategic networking, sourcing and introductions
- Manage client acquisition pipeline through utilization of a pipeline management system (Salesforce) to track prospects, leads and current clients.
Analyst- Business Management (Exempt)
- Develop business plan and track progress with quantifiable business and activity goals; and align daily activities with practice metrics, goals and objectives
- Define roles and responsibilities aligned to OPM framework for each practice member
- Define and periodically review client segmentation, minimum account size, pricing, and profitability by comparing revenue and time capacity per client; adjust to ensure clients are in right channel
- Proactively generate leads through active management of the practices communication strategies and expenses
- Drive the overall vision for the practice through leveraging strategic partnerships and developmental opportunities
Analyst- Investments (Exempt)
- Define investment philosophy and strategy (e.g., asset allocation, strategic vs. tactical, active vs. passive) and clearly articulate approach to investing that is implemented through a repeatable process
- Manage client portfolios using a fully documented investment philosophy leveraging Wealth Management tools and review portfolios for potential rebalancing
- Establish a clear buy/sell discipline for selecting investment products consistent with client goals and risk tolerance for initiating and selling positions
- Implement, manage and deliver via the creation of model portfolios and engage in ongoing performance analysis of various asset classes as well as client education Have deep knowledge of the various Merrill Lynch investment platforms (e.g., MLPA, UMA, PIA, MFA) as well as the available products and solutions and relevant contacts
- Conduct ongoing research on markets and investments and follow disciplined process to monitor and respond to external events
Analyst- Investments (Exempt)
- Develop and service certain or pre-identified client segments of an FA or FA Team client base (such as, related accounts and specific account segments).
- Profile, qualify, and develop prospective clients through the five Client Acquisition Strategies: Sourcing & Introductions, Intimate Events, Strategic Networking, and Referral Alliances, and Targeted Seminars.
- Support the overall Goals-Based Wealth Management process to certain client segments.
- Implement investment strategies and presentations and implement investment recommendations through presentations
- Gather additional assets from existing client base.
- Coordinate and introduce technological support to FA or FA teams business through the development of portfolio analysis, spreadsheets, proposals, direct mail campaigns, etc.
- Provide specialized support to an FA through technical expertise in certain product areas (e.g. Corporate 401(K), Rule 144, Insurance, etc.).
- Provide marketing and organizational support to FA or FA team as needed.
- Either Series 7 and 66 licenses or Series 7, 63, and 65 licenses
- All state licenses in support of FA or FA Teams client base
- All product licenses in support of FA or FA Teams client base
- Obtain and/or maintain at least onefirm approved designation
- Safe Act Registered