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Key Traits of a Successful Associate Financial Advisor
Financial Planner
To be a professional team member assisting a high performing financial advisory practice in managing and organizing office work flow at an expert level. This position will consistently follow high standards of business and professional ethics and legal and regulatory requirements when dealing with others and/or performing work activities.
• Independent Problem Solver
• Direct attention to detail and organization
• Effective communication with clients and other advisors and staff
• Effective and efficient time management
• Polite and clear phone manner
• Ability to multi-task
• Positive attitude and sincere willingness to constantly learn and grow
• High level of proficiency with Microsoft office – including excel, word, and power point
For this position you will need to already have or be willing to study for and pass exams for federal and state licenses and registrations for securities, including: Series 7, Series 66, and State life, accident and health insurance licenses.
Key Responsibilities
• Enter data into financial planning software
• Examine client data for accuracy and completeness
• Review and interpret client’s financial statements
• Prepare preliminary financial planning recommendations and review/edit them for accuracy and completeness
• Run hypothetical illustrations
• Assist with Asset Allocation and portfolio management advice
• Maintain client contact during the financial planning process
• Attend and participate in client meetings when necessary
• Develop product solutions
• Execute trades to align with proposed portfolio
• Conduct transactions on behalf of clients without advisor approval
• Review work methods and procedures for possible quality improvements and efficiencies and implement them when appropriate
• Assign and delegate work, when appropriate, to other planning support staff
• Manage and resolve client service problems
• Support and provide guidance for compliance within the advisor’s practice
