Associate Advisor/Associate Financial Planner #ESF3235

What you will be doing:

• Prepare for client meetings by gathering relevant data, creating agendas, and producing reports and planning materials.
  


• Ensure timely follow-through on post-meeting action items, including CRM documentation, task creation, and client communication.
  


• Coordinate with external professionals (e.g., estate planning attorneys, CPAs) to support client objectives.
  


• Input and maintain accurate client data within financial planning software.
  


• Assist in developing and updating financial planning strategies in collaboration with the advisory team.
  


• Conduct research and analysis on investment options and financial products under the guidance of Lead Advisors.
  


• Monitor client financial situations for accuracy, completeness, and changes requiring attention.
  


• Prepare, process, and track new account openings, transfers, and ongoing account maintenance.
  


• Generate portfolio review materials and assist with ongoing account servicing and management.
  


• Communicate with clients via phone, email, and in person to provide timely, professional service.
  


• Monitor and manage the team inbox, triaging requests, assigning tasks, and keeping clients informed of progress.
  


• Interface with internal team members and external parties to ensure client-related tasks are completed accurately and on time.
  


• Support transaction processing and paperwork management in accordance with firm procedures.
  


• Coordinate workflows with team members to maintain operational efficiency and high service standards.
  


• Assist with front office support as needed, including greeting clients, answering phones, and processing checks.
  


• Proactively identify opportunities to improve systems, workflows, and the overall client experience.
  


• Clearly communicate task status, deadlines, and obstacles to Lead Financial Planners.
  


• Collaborate with support team members to achieve firm and team objectives.
  


• Assist with trading and rebalancing of client investment accounts.
  


• Participate in and eventually help lead client review meetings.
  


• Expand responsibilities as licensing, experience, and proficiency grow.
  

Experience you will need:

• Highly organized, detail-oriented, and proactive in managing tasks.
  


• Strong analytical and financial skills with the ability to interpret data and develop insights.
  


• Effective problem-solving abilities and a team-oriented approach with a 'no job is beneath me' mentality.
  


• Strong persuasive skills.
  


• Excellent interpersonal and communication skills, both written and verbal.
  


• Able to work independently while keeping the Lead Financial Planner informed of progress and hurdles.
  


• 1-2 years of industry experience preferred.
  


• Bachelor’s degree (B.A. or B.S.) preferred.
  


• FINRA registration, including Series 7 and 66 (or FINRA recognized equivalents) required or ability to clear the tests within 12 months.
  


• If not licensed at hire, compensation and title will reflect this until fully licensed.