Description
Provide investment advice and portfolio management to clients, using knowledge of securities, asset allocation, risk management, and tax-efficient strategies. Duties include assessing clients' objectives, risk tolerance, and financial situation; developing and implementing investment plans; monitoring performance and markets; and executing trades in accordance with regulatory and fiduciary standards.
- • Analyze client financial profiles and risk tolerance to design investment strategies.
- • Answer client questions about investment recommendations, risks, costs, and expected outcomes.
- • Interview clients to determine investment horizon, liquidity needs, tax status, and objectives.
- • Open and fund brokerage or advisory accounts, implement strategies, and ensure KYC/AML and suitability compliance.
- • Prepare and explain portfolio performance reports, holdings summaries, and projections.
- • Guide clients in gathering statements, tax documents, and account records needed for investment planning.
- • Contact clients regularly to review changes in goals, risk tolerance, or financial situation.
- • Coordinate with clients' accountants, attorneys, or plan administrators to align investment strategies.
- • Develop asset allocation and rebalancing plans aligned with objectives.
- • Conduct seminars or webinars on investing, market outlooks, or retirement investment strategies.
- • Advise on tax-efficient investing techniques, such as asset location and tax-loss harvesting.
- • Incorporate client ESG preferences into investment selection when requested.
- • Recommend securities and funds, cash management options, and portfolio strategies to meet goals.
- • Review portfolios and market conditions to determine when rebalancing or strategy changes are needed.
- • Manage and rebalance client portfolios to keep them aligned with investment policy statements and benchmarks.
- • Build and maintain a book of clients through referrals and business development.
- • Explain fiduciary duties, scope of services, fees, and conflicts of interest.
- • Conduct due diligence on securities, funds, and managers for suitability.
- • Monitor markets, macro trends, and company fundamentals affecting client portfolios.
- • Recommend and execute trades in stocks, bonds, ETFs, mutual funds, and other approved products.
- • Draft and maintain investment policy statements for clients.
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Financial Services
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Tasks & skills:
O*NET occupational data (work activities, skills, knowledge).
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Last reviewed: Jan 2026
