Account Manager

GENERAL PURPOSE:

The Account Manager is responsible for the day-to-day servicing of existing clients in tandem with the Financial Advisor. The Account Manager is responsible for developing and maintaining relationships with existing clients.

ESSENTIAL JOB RESPONSIBILITIES:

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily.  The requirements listed below are representative of the knowledge, skill and/or ability required.  Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

• Conducts preparatory work for client meetings including generating financial reports and prefilling applications.
• Completes assigned action items following client meetings at the request of the Financial Advisor.
• Executes day-to-day service needs for existing clients.   
• Assists in the process of onboarding new clients by establishing new accounts, gathering necessary documentation, and updating client database.
• Executes account transfer and rollover processing at the direction of the Financial Advisor.
• Schedules client meetings on behalf of the Financial Advisor.
• May process trades and distributions at the direction of the Financial Advisor.
• May mentor other Account Managers or Assistant Account Managers.
• May attend client meetings.
• Other job duties as assigned.

REQUIREMENTS:

Knowledge, Skill and Ability

• Fundamental understanding of financial service products and markets.
• Excellent communication skills.
• Ability to recognize problems and recommend solutions if a follow-up item does not appear to be correct or needs further review.
• Working knowledge of computer software packages, including Microsoft Word, Excel, and Outlook.
• Ability to use general office equipment including a computer, calculator, typewriter, fax machine, copier, and telephone.

Education or Experience 

• High School Diploma or equivalent. 
• One to three years of experience in the Financial Services is preferred.
• Securities Industry Essentials (SIE) must be completed before start date.
• Must have a current driver license and an insurable driving record.  
• Must pass the requirements of our broker dealer including fingerprinting and background check.

Working Environment/ Physical Activities

• General Office work environment.
• Requires regular use of arms, hands, and fingers.
• Frequently required to sit for extended periods of time, reach with arm and hands, stand, walk, stoop, talk and hear.
• Required to lift and/or move up to 10 pounds.
• Requires travel as needed, with some overnight business trips.

HIPAA Compliance

This position may have access to Protected Health Information (PHI) and Electronic Protected Health Information (ePHI).  Employee will be responsible for following guidelines of the HIPAA Confidentiality Agreement.

Note:   This job description is not intended to be an exhaustive list of all duties, responsibilities, or qualifications associated with this job. The employee is expected to perform those duties listed as well as other related duties directed by management.