OVERALL FUNCTION

Heirloom Advisors is seeking an Investments and Planning Manager who has deep expertise in investments along with some experience in analysis and financial planning for clients. This individual will lead their investment department in the areas of developing strategies for clients, creating financial planning analyses, and serving as the in-house investment subject matter expert. Specific responsibilities may include but are not limited to:

Proposal and Case Preparation

• Gathering information for Wealth Management Advisor (WMA) meetings with client/prospect
• Preparing advisory annual review information
• Preparing and modifying investment/advisory proposals
• Preparing investment policy statement, needs-based analysis, or financial plan
• Recommending opportunities that client should take advantage of including fund portfolio options and communication those recommendations effectively
• Taking initiative to review client situation ahead of meeting or on a regular basis

Support

• Handling case notes, processing correspondence, maintaining client case files, and filing new statements, account forms and other investment related materials
• Responding to home office account inquiries
• Monitoring industry trends and research
• Ensuring Northwestern Mutual Investment Services (NMIS), Northwestern Mutual Wealth Management Company (NMWMC) compliance requirements are implemented and followed

Processing Accounts

• Preparing and processing all paperwork needed for investment/advisory accounts
• Monitoring, processing, and following up on asset transfers and on initial and subsequent funding of advisory accounts
• Implementing initial and subsequent asset allocation trades
• Discussing potential rollover opportunities from other retirement plans for variable and mutual funds
• Processing proposal amendments, monitoring alerts, and annual reviews
• Executing buy or sell orders and rebalancing orders and maintaining asset allocation
• Following up on trade rejects and resolving all trade-related issues
• Monitoring holdings for program eligibility and administering advisory accounts

Client Service

• Corresponding with clients to handle advisory related service issues
• Providing quarterly communication to advisory clients related to the market, their investment portfolios and or updates with any legislation that clients should be aware of
• Contacting clients on behalf of the WMA for developing advisory plan and providing technical explanations of investment plan
• Accepting redemptions/withdrawals from clients and communicating instructions to home office
• Discussing tax consequences, costs, and advisory fees
• Running performance reports

Qualifications

• Bachelor’s degree required
• Complete Insurance licensing (within 60 days of date of hire)
• Complete the SIE & Series 7 exams (within 6 months of date of hire)
• Complete Series 65 (within next 6 months or 12 months from date of hire)
• Certified Financial Planner designation within 3 years
  
• At least 2 years of wealth management industry experience required
• Trading experience and ability to process personal securities transactions
• Familiarity with Microsoft applications and data entry and information retrieval software
• Excellent oral and written communication skills
• Strong critical thinking, financial analysis, and problem-solving skills required
• Ability to manage multiple diverse projects and assignments in a timely and quality manner
• Strong attention to detail with the ability to work with a high degree of accuracy
• Demonstrated ability to maintain effective working relationships with clients
• Willingness to learn
• Ability to embrace change and work in a fast-paced environment
• Able to work both independently and in a team
• Ability to maintain confidentiality