Wealth Management Specialist, Sr. jobs in Corpus Christi, TX

Description

Kleberg Bank, N.A. believes that the customer’s experience is our Brand. Each individual at Kleberg Bank, N.A. is committed to providing “Excellent” customer service. Therefore, we are seeking a Wealth Management Assistant with unrivaled integrity, solid work ethic and a passion for service.   

The Wealth Management Assistant coordinates with Financial Professionals (Registered Representatives) running their day-to-day Investment practice while enhancing the customer service level and experience and provides operational oversight to the program. This role may assist up to three (3) Financial Professionals. This person works directly with the Registered Representative(s) to prepare and process client paperwork, schedule appointments, communicate with clients and financial companies, oversee operational soundness for the team.

 This role has the potential for future opportunities if certifications/licenses (Paraplanner, Insurance, Series 6 or 7 & 66) are obtained and experience level has reached 2 years or longer while in good standing in current role.

Essential Duties:

The job’s essential or most important functions and responsibilities. Included are all-important aspects of the job – whether performed daily, weekly, monthly, or annually; and any that occur at irregular intervals. The following essential duties do not cover an all-inclusive list of work requirements. Individuals will perform other job-related duties as assigned, including work in other areas to cover absences or otherwise balance the workload.

• Act as a liaison between the registered representatives and their clients while following FINRA guidelines and limitations due to licensing requirements.
• Aid registered representatives in preparing client illustrations, graphs, charts, reports, etc. for presentations and appointments with clients.
• Prepare and complete client paperwork and follow up tasks to support registered representative correctly and in a timely manner.
• Spend time with clients on the phone, via virtual visits and in person to ensure client service level needs.
• Set client financial review visits based on client service level agreement & prepare follow-up meetings based on needs.
• Organize client events and follow up tasks.
• Maintain an organized filing system following compliance guidelines along with a process for registered representative to support clients and prospects current and future needs.
• Conduct proactive outreach to clients and registered representatives on time sensitive activities (e.g., RMDs, Client’s Quarterly/Annual Reviews).
• Maintain Advisor Calendar, Client Segmentation/Service Level Agreement and follow up, CRM, Marketing Central, client notes to mirror third-party vendor syncing to CRM, current and future tasks and follow up processes..
• Assume ownership of inquiries and requests; communicate with internal Cetera departments to ensure clients’ expectations for timely service delivery are met.
• Leverage e-sign whenever possible to be proficient with Portfolio Access.
• Utilize the Annuity Search Tool, RightBridge, DP Maintenance and daily paperwork maintenance to ensure deepening the book of business based on client needs, opportunities and a clean paperwork flow.
• Maintain compliance guidelines, client communication notes in third-party vendor software and CRM while following standards in a timely manner.
• Work with Advisors through weekly meetings to help maintain Advisors Business Plan process, tasks, marketing and client communication expectations and follow up processes.

Requirements

Education and Experience:

• High School diploma or equivalent
• Some college preferred
• Five (5) years minimum as an investment assistant

Special Skills:

• Strong verbal communication skills with a client service focus
• Strong organizational skills
• Ability to meet deadlines
• Proficient with technology with the ability to learn (Microsoft Office including Work, Excel and PowerPoint)
• Attention to detail, excellent organization skills, ability to multi-task and produce timely results in a fast-paced work environment
• Able to manage own workflow and priorities, and can accommodate unexpected requests or needs from Advisors
• Self-starter, productive, works well with a team and independently
• Professional and positive attitude, friendly demeanor both in-person and by telephone
• Trustworthy; uses discretion with confidential information
• Listens well to instruction and consistently retains details

Physical Demands:

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

While performing the duties of this job, the employee is regularly required to sit; use hands to manipulate, handle, or feel; and talk or hear. The employee frequently is required to reach with hands and arms. The employee is occasionally required to stand and walk. The employee must occasionally lift and/or move up to 10 pounds. 

Work Environment:

The job operates in a professional office environment. This role routinely uses standard office equipment such as computers, printers, phones, etc. The noise level in the office is usually moderate. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Position Type and Expected Hours of Work:

This is a full-time, non-exempt position. Work hours are generally Monday through Friday from 8:00 a.m. to 5:00 p.m. 

Travel:

This position will have a permanent office in Corpus Christi with a need to travel to our Downtown Kingsville location as needed for internal and client meetings. 

Other Duties:

Duties, responsibilities and activities may change at any time with or without notice.

AAP/EEO Statement:

Kleberg Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, religion, color, national origin, sex, sexual orientation, gender identity, age, status of protected veteran, among other things or status as a qualified individual with a disability.