Associate Financial Planner

Job Description

Job Description

We are seeking an Associate Financial Planner for our wealth management firm in our Caldwell, Idaho Office. Candidates who thrive in a small firm environment and want to be involved in all aspects of the business are of high interest to us. At Mainspring Wealth Advisors, we emphasize care for our clients and are looking for team members who not only want to learn from our experienced advisors but also want to focus on strengthening our existing client relationships.

Position Overview

The Associate Financial Planner position plays a key role in supporting the Lead Financial Planner team in managing existing and new client relationships and delivering exceptional service. This position involves assisting in various tasks that build efficiency in the processes for the team as well as specific analytical projects using Microsoft Excel and company software. An adaptive and in-depth understanding of computer skills is essential for the position. Working knowledge of portfolio allocation, investment management, and general financial planning is expected. The Lead Financial Planner will be available to provide mentoring and big-picture direction, but you are expected to have the foresight and ability to work independently and anticipate firm needs and client questions.

Primary Responsibilities

Client Meeting Preparation & Follow-Up:

• Prepare for client meetings by gathering relevant data, creating agendas, and producing reports and planning materials.
• Ensure timely follow-through on post-meeting action items, including CRM documentation, task creation, and client communication.
• Coordinate with external professionals (e.g., estate planning attorneys, CPAs) to support client objectives.

Financial Planning & Analysis:

• Input and maintain accurate client data within financial planning software.
• Assist in developing and updating financial planning strategies in collaboration with the advisory team.
• Conduct research and analysis on investment options and financial products under the guidance of Lead Advisors.
• Monitor client financial situations for accuracy, completeness, and changes requiring attention.

Account Management & Client Service:

• Prepare, process, and track new account openings, transfers, and ongoing account maintenance.
• Generate portfolio review materials and assist with ongoing account servicing and management.
• Communicate with clients via phone, email, and in person to provide timely, professional service.
• Monitor and manage the team inbox, triaging requests, assigning tasks, and keeping clients informed of progress.

Operations & Team Support:

• Interface with internal team members and external parties to ensure client-related tasks are completed accurately and on time.
• Support transaction processing and paperwork management in accordance with firm procedures.
• Coordinate workflows with team members to maintain operational efficiency and high service standards.
• Assist with front office support as needed, including greeting clients, answering phones, and processing checks.

Process Improvement & Communication:

• Proactively identify opportunities to improve systems, workflows, and the overall client experience.
• Clearly communicate task status, deadlines, and obstacles to Lead Financial Planners.
• Collaborate with support team members to achieve firm and team objectives.

Future Growth Opportunities

• Assist with trading and rebalancing of client investment accounts.
• Participate in and eventually help lead client review meetings.
• Expand responsibilities as licensing, experience, and proficiency grow.

Key Qualifications:

• Highly organized, detail-oriented, and proactive in managing tasks.
• Strong analytical and financial skills with the ability to interpret data and develop insights.
• Effective problem-solving abilities and a team-oriented approach with a ‘no job is beneath me’ mentality
• Strong persuasive skills
• Excellent interpersonal and communication skills, both written and verbal
• Able to work independently while keeping the Lead Financial Planner informed of progress and hurdles.
• 1-2 years of industry experience preferred.
• Bachelor’s degree (B.A. or B.S.) preferred
• FINRA registration, including Series 7 and 66 (or FINRA-recognized equivalents) required or ability to clear the tests within 12 months.
  • If not licensed at hire, compensation and title will reflect this until fully licensed.

Securities offered through Raymond James Financial Services, Inc., member FINRA/SIPC. Investment advisory services offered through Raymond James Financial Services Advisors, Inc. Mainspring Wealth Advisors is not a registered broker/dealer and is independent of Raymond James Financial Services. For use with financial professionals only.

Mainspring Wealth Advisors, LLC is a fast-growing wealth management office with multiple locations in the Puget Sound area. At Mainspring Wealth Advisors, LLC, we emphasize care for our clients, both internal and external, and are looking for candidates who want to contribute to the growth and success of our office by supporting consistent, thoughtful, and efficient service across our advisor teams.

Company Description

Mainspring Wealth Advisors, LLC is a fast-growing wealth management office with multiple locations in the Puget Sound area. At Mainspring Wealth Advisors, LLC, we emphasize care for our clients, both internal and external, and are looking for candidates who want to contribute to the growth and success of our office by supporting consistent, thoughtful, and efficient service across our advisor teams.