The Portfolio Management Associate Director works with Portfolio Management certified Financial Advisors who have earned the Senior Portfolio Management Director title in executing the responsibilities outlined below.
Supports Financial Advisors in analyzing portfolios and developing advanced PM solutions and strategies for clients
Accompanies Financial Advisor to meetings to discuss investment strategy options and performs market reviews
Manages clients’ estate, trust, retirement, and insurance objectives with the Financial Advisor
Develops marketing and seminar materials and helps distribute targeted presentations to clients on behalf of the Financial Advisor
Screens new client prospects that are developed through leads and referrals to determine suitability for addition to group
Makes asset allocation recommendations to the group and sets up the portfolio in conjunction with the Financial Advisor
Critically examines current holdings to evaluate if portfolio action is warranted
Proactively evaluates and upgrades platforms for the Portfolio Management Group and maintains all hardware
Implements decisions by using PM trading platforms or other Firm’s online technologies to input trades
Determines scope of and performs necessary database and internet research and screening and produces monthly or quarterly reports using proprietary software
Leads research meetings
Identifies swap opportunities
Conducts credit research and develops valuation models
Complies with allindustry rules and regulations and Firm policies
QUALIFICATIONS
EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS:
Education and/or Experience
College degree or professional certification required
10 or more years of relevant experience in the financial services industry
Series 7, 63, 65, or Series 7, 66
Additional product licenses may be required
Strong compliance record
Knowledge/Skills
Strong written and verbal communication skills
Strong knowledge of applicable compliance rules andregulations and firm policies
Knowledge offinancial industry / products
Proficient inapplicable software applications
Successfulcompletion of the Portfolio Management Coursework
REPORTS TO:
Complex Business Service Manager
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