Wealth Management & Financial Planning
These client-facing roles provide holistic financial advice and services to individuals and families, especially those with high net worth.
- Financial Advisor / Personal Financial Advisor: Assesses a client’s financial situation and provides advice on a variety of services, including investments, insurance, and tax planning.
- Wealth Advisor / Private Wealth Manager: A senior role providing comprehensive, tailored services, including multi-generational wealth transfer, estate planning, and business succession planning.
- Financial Planner: Takes a holistic view of a client’s finances (income, expenses, savings, insurance, estate plans) to develop strategies for long-term goals.
- Investment Consultant: Advises clients on investment opportunities and performs research and analysis on market trends to suggest investment opportunities.
- Client Relationship Manager: Serves as the primary point of contact for clients, ensuring their needs are met, expectations are managed, and they receive the attention required.
- Paraplanner: A junior member of a financial planning team who gathers client data, performs financial modeling, and prepares reports to support senior advisors.
Asset Management (Including Hedge Funds, PE/VC)
These professionals manage large pools of assets (pension funds, mutual funds, hedge funds, etc.) to maximize value while mitigating risk.
- Portfolio Manager: Manages investment funds and strategies on behalf of clients, making key decisions on asset allocation, risk management, and market analysis.
- Investment/Research Analyst: Researches and analyzes financial markets, specific sectors, and potential investment opportunities to provide insights and recommendations to portfolio managers.
- Hedge Fund Analyst/Manager: Manages funds using complex strategies for high-net-worth investors, focusing on generating unique investment ideas and maximizing fund profits.
- Private Equity Associate/Analyst: Focuses on raising money for and investing in private (non-publicly traded) companies.
- Venture Capitalist: Provides capital to emerging, high-growth companies, typically in rapidly developing industries like technology or biotech.
Trading & Securities
These roles involve the execution of trades and the sale of financial products:
- Trader: Executes buy and sell orders for stocks, bonds, options, and commodities on behalf of a firm or its clients.
- Stockbroker / Securities Sales Agent: Sells securities and commodities to individual clients and provides financial advice.
- Sales Trader: Interacts with clients to understand their needs and works with traders to find the best options for transactions.
Support & Operations (Middle & Back Office)
These essential roles ensure compliance and operational efficiency:
- Risk Manager/Analyst: Identifies, assesses, and mitigates financial and operational risks.
- Compliance Officer: Ensures adherence to regulatory guidelines and prevents financial crimes.
- Fund Accountant: Responsible for the accounting and administration of investment funds.
- Operations Specialist: Manages the administrative and logistical tasks that support the front office functions.