Bleakley is a leading independent Registered Investment Advisor firm dedicated to providing top-tier financial advice and investment strategies. Our commitment to our clients is matched only by our dedication to our team members. We are seeking a dynamic Compliance Associate to join our Chief Compliance Officer and team to support our growing initiatives.
Job Brief:
Assists senior advisors in creating financial plans and investment portfolios for clients. Conducts risk assessments and provides clients with appropriate investment solutions. Participates in client meetings, enhancing communication skills and client service.
Responsibilities:
Client Engagement:
Assist in building and maintaining current client relationships to become their key point of contact.
Participate in client meetings, taking notes and following up on action items.
Handle routine client inquiries and communications and prepare materials for meetings.
Financial Analysis and Research:
Assist in developing financial plans and conducting financial analyses under the guidance of the Think Tank and Advisor.
Assist with ORION, E-money reports and presentations.
Provide updates on outstanding items during weekly meeting; manage relationship with Think Tank to confirm all processes are working proficiently
Review meeting materials to ensure they are client ready, so Advisor is prepared for his meetings.
Learning and Development:
Stay updated on industry trends, best practices, and new products.
Participate in training and development programs to enhance skills and knowledge.
Seek opportunities to learn from senior advisors and other team members.
Certify that all compliance and communication requirements are being met.
Provide guidance and strategy for new business development and aid in the sales cycle.
Respond to client questions and concerns with the ability to put yourself in their position to anticipate their questions.
Understand the client's point of view and provide answers to questions in a timely manner ensuring the client fully comprehends the response.
Provide detailed and clear answers to questions from clients and fellow coworkers and be responsive to any inquiries.
Skills and Qualifications:
Education:
Bachelor's degree in finance, business, or a related field is often preferred.
Series 7 helpful
Experience:
Entry-level positions, with some experience in customer service or administration a plus.
Skills:
Strong analytical and problem-solving skills.
Excellent communication and interpersonal skills.
Proficiency in Microsoft Office Suite and other relevant software.
Ability to work independently and as part of a team.
Strong organizational skills and attention to detail.
Other:
A desire to learn and grow in the financial advisory field.
A commitment to providing excellent client service.
Ability to handle confidential information with discretion.
Right to Revise:
This job description is not meant to be all-inclusive, and the Company reserves the right to revise this job description as necessary without advance notice.
The statements herein are intended to describe the general nature and level of work being performed by the employee. They are not to be construed as an exhaustive list of responsibilities, duties, and skills required of personnel so classified. Furthermore, they do not establish a contract for employment and are subject to change at the discretion of the employer without notice.
Why Join Us:
Opportunity to play a key role in the growth and success of a leading RIA firm.
Collaborative and supportive team environment.
Competitive salary and benefits package.
Continuous professional development opportunities.
High end office located in Parsippany NJ with gym on-site.
Culture activities focused on health & wellness, team collaboration, and employee engagement.