FINANCIAL ADVISOR

Job Description

Job Description

Description

GENERAL SUMMARY :

The Financial Advisor serves as a key member of a collaborative advisory team, working closely with a Lead Financial Advisor and Registered Assistant to deliver an exceptional client experience. This role supports all aspects of client service, financial planning preparation, operational workflow, and team-based business development.

 

RESPONSIBILITIES AND DUTIES:

• Act as a primary point of contact for clients in partnership with the Lead Financial Advisor and Registered Assistant.
• Support delivery of comprehensive financial planning by preparing plan components, running reports, and gathering client data.
• Provide timely follow-up on client needs, service requests, and meeting action items.
• Participate in client meetings with the Lead Advisor, assist with meeting prep, and document outcomes.
• Work closely with the Lead Advisor and Registered Assistant to maintain a smooth, efficient, and client-focused team environment.
• Coordinate internal processes, maintain task tracking, and ensure the team is aligned on deadlines and client priorities.
• Contribute ideas for team improvements, client engagement strategies, and operational efficiencies.
• Open new accounts and manage updates, paperwork, transfers, money movements, and document retention.
• Execute trades and rebalance portfolios under the direction of the Lead Financial Advisor.
• Ensure all workflows meet compliance standards and regulatory requirements.
• Assist the Lead Advisor with prospecting activities, follow-up, and preparation of proposal materials.
• Support team marketing efforts, client communications, and outbound engagement.
• Identify opportunities for cross-selling additional bank and investment services based on client needs.
• Regularly exercising independent judgement and discretion over matters of significance. 
• Communicate effectively in-person and otherwise with all coworkers and customers, both during regular business hours and before and after regular business hours, if necessary. 
• Effective communication and collaboration are essential for this role. While remote work may be available periodically, there are times when being in the office is necessary to maintain our collaborative efforts. Therefore, this position cannot be primarily performed remotely.

 

KNOWLEDGE, SKILL, AND ABILITIES :

• Strong understanding of investment products, financial planning concepts, and advisory workflows.
• Excellent communication and relationship-building skills with clients and internal team members.
• High attention to detail, strong follow-through, ability to manage multiple tasks.
• Professionalism, confidentiality, and adaptability in a team-driven culture.
• Proficiency with Microsoft Word, Excel, and ability to learn new software quickly.

 

EDUCATION AND EXPERIENCE :

• Bachelor’s Degree
• Series 7/66 Securities License.
• Prefer 2-3 years experience in financial planning or related experience.

PHYSICAL REQUIREMENTS :

 

NOTE:  The statements herein are intended to describe the general nature and level or work being performed by employees assigned to this classification.  They are not intended to be construed as an exhaustive list of all responsibilities, duties, and skills, required of person so classified.

More DetailsSeries 7/66 license and 3-5 years' experience