Annex Wealth Management Careers
Annex Wealth Management, LLC is committed to extending our high standard of attention and care in meeting the complete financial needs of families, individuals, and business clients in a fiduciary relationship.
We’re constantly seeking candidates who have experience providing comprehensive wealth management services and possess an understanding of retirement planning, education planning, risk management, and investments. An ability to embrace technology, work on a team, and thrive in a fast paced, dynamic environment are keys to success with the rapid growth we are experiencing.
- Wealth Manager/Financial Advisor
- Client Service Manager
- Client Service Associate
- Compliance Specialist
- Investment Management Specialist
- Tax Specialist
- General Application
Annex’s reputation and presence with its radio shows throughout the state of Wisconsin have provided a steady stream of prospective client leads. With our growth and expansion of branch offices, we need a strong advisor who is able to meet with these prospective clients, secure the client relationship and then oversee those relationships for the long-term. Additionally, the right person will also be expected to be involved in the community and develop new client relationships through their own efforts.
At Annex, we strive to put people in the right roles to best utilize their talents. We offer centralized planning, centralized investment management, centralized communications and centralized compliance in addition to other services to our advisors to enable them to do what they do best, meet with clients. We have extensively built out our technology platform to efficiently and effectively manage client relationships and their assets. All of these resources are in place and available to allow the advisors to successfully manage more client accounts. See our website www.annexwealth.com for a glimpse of the experience we provide our clients.
- Conduct initial portfolio reviews with prospects and clients to determine or validate current investment objectives and prepare recommendations of appropriate investment models and allocations
- Participate in data gathering, risk tolerance, and goal setting exercises with new prospective clients and deliver the initial framework for a financial plan
- Responsible for engaging in business development (to include prospecting, development of external and internal referral sources, use of personal and professional contacts) to deliver results
- Build and maintain excellent working relationships with internal partners and teammates
- Adhere to internal and external policies and procedures regarding securities transactions and code of ethics
- 5+ years experience in a client-facing financial advisor position
- Experience managing discretionary and brokerage relationships
- Ability to communicate sophisticated investment strategies to all levels of clients and prospects
- Sales experience including: profiling, overcoming objections, negotiation, team selling approach, closing the sale and asking for referrals
- Demonstrated understanding of comprehensive wealth management concepts including retirement, tax, estate, and distribution planning strategies
- Ability to work in a team based environment
- Thorough understanding of the financial markets
- Passion for providing a fiduciary standard of care to clients
You will be one of the primary points of contact for all service related needs of a wealth management client, which means you must have the ability to multi-task and remain extremely organized. In addition to service tasks, you must be skilled at maintaining and building client relationships, so strong people skills are essential. You will work in a team-oriented environment to deliver high quality, personalized wealth management services.
- Manage daily client transactions and inquiries accurately, within established deadlines, and in accordance with existing policies and procedures
- Research, follow-up and resolve client inquiries and requests through effective interaction with clients, advisor, operations staff, custodians, etc.
- Coordinate and follow through on account inquiry, transaction, financial planning and maintenance requests throughout the client relationship.
- Proactive responsibility for preparing client reviews, maintaining client records, and outgoing client communications.
- Ability to determine necessary paperwork, documentation and forms, complete them accurately, and track follow-through.
Qualifications we are seeking:
- Seven plus years experience in an investment brokerage, advisory or wealth management firm
- Working knowledge of financial planning, investment and insurance fields
- Experience with industry tools, i.e. financial planning and investment software systems and CRM
- Detail oriented, resourceful, and able to multi-task effectively
- Strong organizational and interpersonal skills
- Enjoy working in a fast-paced environment
The Client Service Associate is a vital part of the Client Service Team, this position will assist both the planning department and our service members with a variety of tasks.
Duties and responsibilities
- Preparation of client materials
- Scanning and filing of all client information to electronic filing system
- Data entry and financial position research
- Client email confirmations and reminders
- Client service requests
- Client service paperwork and follow up
- Client questions and follow up
- New Account Paperwork creation and submission
- Asset investing and tracking
- Assist Tax department with client tax filing and tracking of e-Files
- Special projects
- Administrative Support
- Assisting all advisors with client scheduling
Job Type: Full-time
The Compliance Specialist would help to ensure that Annex’s operations and business practices follow all relevant regulations, internal policies and procedures.
- Assist in creating sound internal controls and monitor adherence to them
- Assist in exception reporting, SEC filings, and analysis of access person activities
- Help draft and revise company policies
- Proactively audit processes, practices and documents to identify weaknesses
- Evaluate business activities to assess compliance risk
- Collaborate with external auditors and HR when needed
- Assist in plans to manage a crisis or compliance violation
- Educate and train employees on regulations and industry practices
- Serve as a resource and address employee concerns or questions on compliance issues
- Keep abreast of internal standards and business goals
- Proven experience in risk management
- Knowledge of industry regulations, requirements, and controls
- Excellent communication skills
- Familiarity with industry practices and professional standards
- Integrity and professional ethics
- Teamwork skills
- Project management skills
- Prior compliance experience
- Finra Series 24 and 65 or 66 qualifications preferred
Job Type: Full-time
The Investment Management Specialist executes the day-to-day implementation of model investment strategies. The Specialist works alongside the Chief Investment Officer in managing client portfolios and researching investments managed by Annex Wealth Management. The position plays an integral role of liaison between the Wealth Managers, Client Service Managers, and the Investment Management team.
Duties and Responsibilities
- Execute trades within client portfolios that include rebalancing, raising cash & investing new cash
- Enhance the tax efficiency of client portfolios and carry out tax loss harvesting strategies
- Assist Wealth Managers and Client Service Managers with policies and procedures related to investment management
- Recommend and implement transition plans to realign recently transferred assets in accordance with clients’ stated asset allocation strategy
- Conduct research on mutual funds, exchange traded funds, stocks and bonds to support investment decisions of the Chief Investment Officer and the Investment Policy Committee
- Contribute to Investment Policy Committee meetings with pertinent market and economic information to facilitate the Committee’s investment decisions
- Support the 401k department with investment management and monitoring of plan investment options
- Create and maintain performance reporting of investment models and composites
- Collaborate with the Operations and Compliance departments to ensure investment team’s adherence to firm policies and guidelines
- Support the Compliance department with exception reporting and due diligence reviews
- Participate in client and prospect meetings when necessary
- Serve as project manager for ad-hoc assignments that impact the larger organization
- Advance the Marketing team’s efforts, as needed, that are designed to promote the organization and its growth
College Degree required
Minimum 3 to 5 years of experience within Financial Services required with experience in Investment Management (research, portfolio analysis, and/or trade execution) preferred
Experience with investment trading and custodial platforms
Demonstrated ability to review client portfolios to determine planning opportunities, transition strategies, and broader financial planning interdependencies.
Microsoft Experience (Word, Excel, Powerpoint) required
CFP and/or CFA preferred with willingness to obtain within a reasonable period of time.
We are a rapidly growing firm seeking a talented tax professional to join our team and assist in the tax planning needs of our clients. The right candidate will be knowledgeable in personal tax planning and be able to develop personalized advice and communicate the recommendations effectively to clients.
The primary responsibilities of this position include the following:
- Analyze tax situations and implications of investment activities on the client’s tax situation
- Prepare pro-forma tax returns
- Meet with clients to answer their tax questions and give tax advice
- Prepare tax returns
- Stay updated on current tax laws and potential changes and educate advisors and clients on the implications of the law changes
The Tax Specialist must possess the following minimum qualifications:
- CPA is highly preferred
- At least 5 years of experience preparing individual tax returns
- Knowledge of the current tax laws
- Ability to communicate effectively in client meetings
If you do not see a role currently posted that fits your background and experience, please submit your resume via the General Application opportunity.
Annex Wealth Management
12700 W. Bluemound Rd.
Elm Grove, WI 53122
Call: (262) 786-6363
Fax: (262) 792-8930
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