Licensed Financial Advisor Assistant

Job Overview

This position manages all details of clients, prospects and vendors in the Client Relationship Management (CRM) system. Ensures all required disclosures and transaction documentation is complete. Interacts daily with clients, process client requests and answer basic client inquiries.

Responsibilities

• Interacts daily with clients, process client requests and answer basic client inquiries in a timely manner. Addresses inquiries to appropriate areas.
• Manages account setup from submission of application to client delivery, which includes preparing all paperwork, tracking account status, fulfilling missing requirements, ensuring account/policy is issued, funds are received and that the client’s file is complete for compliance needs.
• Documents all contact and actions taken with client in CRM, including all details of clients, prospects and vendors. Reviews the CRM dashboard daily and identify items that need to be addressed and handle them, confirm the task is completed and record notes in CRM.
• Covers financial planning, annual or quarterly reviews and other ad-hoc client meetings material. Discusses and organizes follow-up steps with the advisors or firm principals after client meetings.
• Executes equity, fixed income, mutual fund and variable annuity transactions under the direction of the firm principal or advisors. Ensures RMD’s and Advisory reviews are done annually.
• Executes trades as directed by the Financial Advisors.
• Fills statements, client information and other related documents.
• Takes care of phone calls, faxes and emails from clients and takes action needed in response to inquiries. Communicate actions taken to advisor and record in Contact Management System.
• Ensures that all required disclosure and transaction documentation is complete.
• Maintains security and insurance records.
• Maintains the client referral program by coordinating next steps and providing required advisor/principal support.
• Participates in the development of annual audit plans.
• Popsulates and maintains accurate client data in client relationship management database.
• Prepares balance sheets, investment allocation summaries, meeting agendas, charts, graphs and added services. Prepare client files for meetings with Financial Advisors.
• Prepares and inputs data into retirement plan forms and asset allocation programs.
• Schedules appointments for the Financial Advisors.
• Sends outgoing wires.
• Maintains cash balances for systematic withdrawal program.
• Takes securities and insurance applications and opens securities and insurance accounts as requested.
• Maintains continuing education requirements for advisors, principals and team members.
• All other duties as assigned.

Qualifications

• A minimum of five (5) years' related experience in a support role in securities, insurance, and/or financial services.
• Series 7, Series 66 or Series 65 & Series 63, and Insurance License.

Total Rewards

• This position is eligible for Full-Time Regular benefits.
• Includes an option for Medical, Dental, and Vision insurance to be paid at a 100% by company for the employee only coverage.
• We also offer Health Care FSA (HCFSA), Health Savings Account (HSA) with employer contributions, and Dependent Care FSA (DCFSA).
• Employees also have access to Life and AD&D insurance.
• Employees are able to enroll in our 401k plan.
• Full-Time Regular employees accrue 8 hours of vacation and 8 hours of sick leave, on a monthly basis.
• Full-Time Regular hired employees also receive 11 paid holidays throughout the calendar year, 1 floating holiday, 16 hours of self-care time, and 16 hours of volunteer time.
• All benefits except 401k start the first of the month following date of hire. Employees become eligible to contribute to 401k on the first of the month following 60 days of employment.