Associate Financial Advisor

About The Role

The Associate Financial Advisor provides specialized services to an individual Financial Advisor to assist in their ability to offer sophisticated wealth management solutions to individuals and families and strategically build the client base. Specialized areas of emphasis include portfolio management and analysis and/or investment analysis.

The Impact You’ll Make
Guide the investment decision process by analyzing existing and potential opportunities and aiding in performance analysis and reporting functions.
Create asset allocation studies utilizing data collected in the client profiling process.
Ensure knowledge of entire investment solution suite and recommend investment solutions to the Financial Advisor or for client use based upon clients’ needs and constraints.
Monitor portfolios and implement portfolio changes.
Prepare client reports for clients.
Prepare and maintain models and trade activity history.
Review account performance for accuracy and/or calculation adjustments.
Aggregate firm holdings for review and monitoring.
Preview incoming/existing client policy statements.
Trade review: cash variances, limit orders, security activity.
Assist in investment of daily cash flows.
Operate within the team’s client service and wealth management strategy to ensure high quality client service.
Engage the client/prospect, frame the discussion, and convey the mission to better position the Advisor for additional business opportunities.

Responsibilities

• Analyzing existing and potential opportunities and aiding in performance analysis and reporting functions.
• Create asset allocation studies utilizing data collected in the client profiling process.
• Ensure knowledge of entire investment solution suite and recommend investment solutions to the Financial Advisor or for client use based upon clients’ needs and constraints.
• Maintain and monitor portfolios, implementing portfolio changes as needed.
• Prepare and maintain client reports and models, including trade activity history.
• Review and adjust account performance for accuracy and calculate necessary adjustments.
• Agregate firm holdings for review and monitoring.
• Preview and review incoming/existing client policy statements.
• Perform trade reviews, including cash variances, limit orders, and security activity.
• Assist in the investment of daily cash flows.
• Operate within the team’s client service and wealth management strategy to ensure high quality client service.
• Engage clients and prospects, framing discussions and conveying the mission to better position the Advisor for additional business opportunities.

Requirements

• Undergraduate degree in Finance, Accounting, Economics or equivalent.
• Must have or be capable of and committed to pursuing and achieving specialized professional designations (i.e., CFP, CPWA, JD) or higher-level education equivalent within one year of assuming the Associate Financial Advisor role.
• Must hold SIE, Series 7/66 or Series 7/63/65 licenses.
• Minimum of three years of investment experience in a client facing role.
• Excellent presentation skills, very strong interpersonal and written communication skills.
• Proven self-starter, highly motivated, with the ability to work independently.

Qualifications

• Must have an undergraduate degree in Finance, Accounting, Economics or equivalent.
• Must hold or be able to obtain SIE, Series 7/66 or Series 7/63/65 licenses.
• Minimum of three years of investment experience in a client facing role.

Skills

• Portfolio management and analysis.
• Investment analysis.
• Asset allocation studies.
• Client profiling.
• Performance analysis and reporting.
• Portfolio monitoring and adjustment.
• Client report preparation.
• Model and trade activity maintenance.
• Account performance review and adjustment.
• Firm holdings aggregation.
• Client policy statement previewing.
• Trade review and management.
• Cash flow investment assistance.
• Client engagement and prospect framing.

Benefits

You’ll have the opportunity to advance your career while enjoying our comprehensive benefits designed for your life, career and future.