Associate Financial Advisor

Position Overview: The Associate Financial Advisor is responsible for the ongoing management of existing client relationships and the retention of clients. The role works in conjunction with a Lead Advisor or other technical specialists to develop advice for clients. This position is responsible for serving and growing existing client relationships. The Associate Financial Advisor is responsible for advising the client, implementing plans, providing regular reviews, and responding to service needs. The Associate Financial Advisor typically manages & coordinates the service and planning teams to assure that client tasks are effectively delegated and managed to completion. The timely completion and delivery of the client experience is ultimate responsibility of the Associate Financial Advisor.

Duties & Responsibilities

• Provide objective, unbiased financial advice to a diverse mix of clients by analyzing investment opportunities and client needs.

• Client relationship development and management, including ongoing and regular client contact and communications.

• Follow the case preparation process to include the review of all case preparation materials prior to meeting with Director of Financial Planning and create the meeting agenda in conjunction with client.

• Client communications – participate in all firm client (phone & email) campaigns.

• Client meeting preparation: review all required paperwork prior to meetings

• May lead client meetings or serve as second chair and take notes; manage/delegate/complete all meeting follow-up items.

• Client service, including planning updates, portfolio changes and reviews, returns and new opportunity identification.

• Client asset management, including coordination of complete financial planning and wealth management (analysis, estate planning, tax strategies for assets under management and portfolio management working with Turnkey Asset Manager Programs (TAMPs)).

• Prepare insurance research, illustrations, and analysis; follow up on underwriting requirements and communicate details to clients.

• Financial Planning: manage plan implementation schedule; review for accuracy and analyze data in planning software; perform simulation modeling in eMoney; provide investment and protection policy reviews.

• Investments: collaborate with TAMPs on portfolio design; (investment research and analysis; monitor investment performance; asset allocation).

• Maintains accurate notes and records regarding client matters in the CRM.

• Keeps client team members adequately informed on all active and pending client matters.

• Cross-sell firm services and deepen existing client relationships.

• Drive participation in client/prospect events and attend events as appropriate.

Qualifications

• Bachelor’s degree preferably in business, accounting, finance, economics or related experience.

• 3+ years of experience in investment management and/or financial advisory services with demonstrated ability to develop and manage plans and manage client relationships.

• Certified Financial Planner (CFP) designation required.

• Series 7 and Series 66 required.

• CA Life Insurance (or equivalent licensing) required.

• Proficiency in Microsoft Office; experience with various financial planning, CRM, portfolio management and document management software.

Other Skills & Experience

• Has a deep understanding of RIA channel and independent financial advice delivery channel.

• Financial planning/wealth management acumen, judgment and experience.

• Continuously exhibits personal integrity and professional initiative.

• Reliable, follows through on commitments, does not shrink from new challenges.

• Possesses a passion to help new and existing clients. Must be organized, detail-oriented and able to manage and prioritize tasks.

• Demonstrates a commitment to accuracy by delivering high quality work.

• Excellent written and verbal communication.

• Collaborative and able to work effectively with others.

• Flexible team player who is highly adaptable to change and open to new ideas.

• Demonstrated ability to work successfully in an entrepreneurial, small company environment.

• Uphold firm’s purpose, vision and values.