Financial Advisor Assistant

Job Description

Job Description

Personalized Wealth Management

Position Summary

Personalized Wealth Management is seeking a professional, organized, and client-focused Financial Advisor Assistant to support the day-to-day operations of a busy financial advisory practice.

The ideal candidate will be detail-oriented, dependable, comfortable working in a fast-paced environment, and able to provide a high level of service to clients. This position requires excellent communication and organizational skills, discretion when handling confidential financial information, and the ability to manage multiple priorities while following established compliance procedures.

Key Responsibilities

• Provide administrative and operational support to the Financial Advisor.
• Serve as a professional and welcoming point of contact for clients by phone, email, and in person.
• Schedule and confirm client appointments and assist with calendar management.
• Prepare client files and materials for meetings and follow up on outstanding items.
• Assist with new account opening paperwork, account maintenance, transfers, beneficiary changes, distributions, and other client service requests.
• Track submitted paperwork and follow up with financial institutions, product sponsors, and the broker-dealer to ensure requests are processed accurately and promptly.
• Maintain accurate and organized electronic client records.
• Update client contact information and account records as needed.
• Assist with gathering information and documentation for financial planning and account reviews.
• Help prepare reports, spreadsheets, correspondence, and other client-facing materials.
• Assist clients with online account access and other routine service questions.
• Monitor outstanding tasks and follow up with clients when signatures, forms, or additional documentation are required.
• Coordinate electronic signatures and maintain accurate documentation of completed paperwork.
• Assist with processing checks, deposits, withdrawals, transfers, and other operational requests in accordance with firm procedures.
• Communicate with insurance and annuity companies, mutual fund companies, custodians, and other financial institutions regarding client accounts.
• Maintain confidentiality of all client, financial, and personal information.
• Follow all firm, broker-dealer, SEC/FINRA, privacy, cybersecurity, and recordkeeping requirements applicable to the position.
• Assist with general office operations, filing, scanning, correspondence, mail, and other administrative responsibilities.
• Identify outstanding client service issues and proactively bring them to the Financial Advisor's attention.
• Provide additional support to the Financial Advisor and practice as needed.

Skills and Qualifications

The successful candidate should possess:

• Excellent verbal and written communication skills.
• Strong organizational and time-management skills.
• Exceptional attention to detail and accuracy.
• Strong follow-through and the ability to track multiple outstanding items.
• Professional and courteous client-service skills.
• Ability to prioritize multiple assignments and meet deadlines.
• Ability to work independently while also collaborating closely with the Financial Advisor.
• Strong problem-solving and critical-thinking abilities.
• Ability to learn financial products, terminology, procedures, and technology quickly.
• High level of professionalism, integrity, discretion, and confidentiality.
• Comfortable communicating with clients regarding sensitive financial and personal information.
• Strong computer skills, including Microsoft Outlook, Word, Excel, and Adobe.
• Experience working with CRM systems and financial-services technology is preferred.
• Ability to learn and navigate broker-dealer, custodial, insurance, and investment-company platforms.
• Ability to recognize when an issue needs to be escalated to the Financial Advisor or compliance department.
• A proactive attitude and willingness to take ownership of responsibilities from beginning to completion.

Preferred Experience

• Previous experience in a financial advisory, wealth management, banking, brokerage, insurance, or other financial-services environment is strongly preferred.
• Experience processing investment, retirement, annuity, or insurance paperwork is a plus.
• Experience with client relationship management (CRM) systems and financial-services platforms is preferred.
• Series 7, Series 63, Series 66, or other applicable securities licenses are a plus but are not required unless the responsibilities of the position require registration.
• Life and Health Insurance licensing is also a plus.
• Associate's or Bachelor's degree in Business, Finance, Economics, Accounting, or a related field is preferred but not required for a candidate with relevant experience.

Ideal Candidate

The ideal candidate is someone who genuinely enjoys helping people and understands that exceptional client service is built on accuracy, responsiveness, and follow-through. This individual should be comfortable taking initiative, staying organized without constant supervision, and handling numerous client requests at different stages of completion.

Because this position involves access to confidential financial and personal information, honesty, professionalism, good judgment, and discretion are essential.

This is an excellent opportunity for someone interested in developing a career in the financial-services and wealth-management industry while working closely with an experienced Financial Advisor.

Personalized Wealth Management is an independent, client-focused financial services practice dedicated to providing personalized financial guidance and building long-term client relationships. We pride ourselves on integrity, professionalism, exceptional service, and creating financial strategies tailored to each client’s individual goals and needs.

Company Description

Personalized Wealth Management is an independent, client-focused financial services practice dedicated to providing personalized financial guidance and building long-term client relationships. We pride ourselves on integrity, professionalism, exceptional service, and creating financial strategies tailored to each client’s individual goals and needs.