Investment Management Specialist
On-siteCharlotte, North Carolina, United States
Job Summary
Analyze Merrill and third-party research to monitor market events and navigate proprietary planning tools. Execute portfolio analysis to align client goals, risk tolerance, and asset allocations with the CIO philosophy. Prepare client performance reports, coordinate weekly Investment Committee meetings, and manage trade processing for discretionary and non-discretionary accounts. Identify targeted investment strategies and propose recommendations based on client objectives. Maintain team proprietary models and manage ML One variances while ensuring all regulatory requirements, including SAFE Act registration and Series 7/66 licenses, are met.
Required Qualifications
- Either Series 7 and 66 licenses or Series 7, 63, and 65 licenses
- SAFE ACT Registration
- Obtain and/or maintain at least one firm approved designation
- Possess and demonstrate strong communication skills
- Thorough knowledge and understanding of the suite of Wealth Management products and services
- Strong analytical and portfolio management skills with the ability to identify trends and implement investment strategies to increase growth and mitigate risk
- Ability to make sound decisions by having a deep understanding of investment management best practices and policies/procedures
- Ability to identify client needs and concerns, and articulate appropriate approach to align solutions to goals in a suitable and controlled way
- High School Diploma / GED / Secondary School or equivalent
- Must obtain all state registrations held by the Financial Advisor(s) and Advisor Team(s) they support
- Must register with the federal registry system and remain in good standing (SAFE Act)
- Must submit to the required SAFE Act background check
- Must be able to work onsite in accordance with the workplace excellence policy
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