Financial Advisor Assistant

Job Description

Job Description

Job Summary

We are seeking a Financial Advisor Assistant (Servicing Advisor) to join our team. In this role, you will field inbound calls, generate analyses, prepare annual review fee billing, and update financial plans for client meetings. Prepare, process, and review new account paperwork, money transfers, and other service requests via paper or DocuSign software. Update financial data, generate performance reports, and manage Client Relationship Management (CRM) tools like Advisors Assistant, Salesforce, or Redtail . Be proficient in Microsoft Office software especially Excel and Word. Strong analytical skills with an industry license (Series 6) with a minimum of one to three years of industry experience assisting a Financial Advisor is mandatory. Must dress and act professionally with strong communication skills. 

Responsibilities

• Client Relationship Management: Act as the primary point of contact for routine client inquiries, initiate account withdrawals, update account beneficiaries, change bank ACH deposit instructions, and handle other day-to-day service requests. 
• Track Trade Execution & Account Maintenance: Track and confirm account rebalancing, trades, transfer of funds, and updates as directed by the senior advisor.
• New Account Openings & Depositing Funds To Existing Accounts: Assisting senior advisor with drafting account establishment paperwork and / or DocuSign document preparation while complying with a myriad of compliance rules.
• Updating Financial Plans For Annual Review Or Initial Preparation: Analyze client data, run financial planning software (like eMoney or Retire-Up), and assist the creation of comprehensive financial, tax, beneficiary, and cash flow analyses.
• Meeting Preparation & Follow-up: Prepare analyses accommodating client meeting agendas and draft post-meeting summaries and action items.
• Compliance & Documentation: Ensure all client interactions, trade tickets, and financial files meet industry compliance and regulatory standards.
• Compliance & Research: Ensure all documentation aligns with regulatory standards (e.g., SEC/FINRA) and assist the advisor with basic financial analysis and investment research to maintain the firm's investment shelf.
• Embrace a willingness to learn and grow as a professional through continuing education, online seminars, and other training opportunities.

Qualifications

• Bachelor’s degree in finance, accounting, or a related field preferred
• Previous experience assisting a Financial Advisor 
• Current certificate of qualifications preferred but not mandatory
• Ability to explain complex financial information in simple terms
• Experience with a variety of software applications, including Microsoft Office, Excel, financial planning software, and customer relationship management software