Associate Financial Advisor Job Description Template
Our company is looking for a Associate Financial Advisor to join our team.
Responsibilities:
- Promote the optimal application of systems and technology across functions and teams;
- Promote continuing enhancements to the graphic presentation of financial advice;
- Construct and maintain workflow process (e.g., preparation steps for Client Financial Review in firm’s proprietary CRM);
- Adhere to the firm’s cultural values, ethical standards, and professional competencies;
- Maintain, in collaboration with Personal CFOs, a ‘select list’ for disability, health, life, and long-term care insurance solutions;
- Promote the effective and efficient utilization of financial plan design and financial review processes and technology adopted by the firm;
- Prepare Investment Policy Statements (IPS) in collaboration with Portfolio Administrator;
- Actively pursue continuing education opportunities that promote and reinforce ‘quality of advice’ and ‘quality of firm’ best practices;
- Administer ongoing process for monitoring client progress toward achievement of financial goals;
- Manage client financial documentation storage solution in accordance with compliance requirements;
- Maintain for each client relationship a clear and concise ‘Activity History’;
- Prepare proposal illustrations specific to protection planning solutions—disability, health, life, and long-term care insurance;
- Promote individual and team adherence to compliance policies and procedures.
Requirements:
- Understanding of FINRA, NASD, and SEC rules and regulations;
- Licenses and Registrations: FINRA Series 7, 63, (65 or 66 preferred) and Life, Accident, Health & Insurance licenses;
- Analytical and research Skills;
- Demonstrated experience in customer service;
- Strong computer skills;
- 2-3 years of financial planning industry experience;
- Proficiency in MS Office, experience with software planning tools;
- Knowledge of 403(b), 401(k) and 457 employer-sponsored plans a plus;
- Previous industry experience providing advisory services to individuals – minimum 1 year;
- Certifications and designations such as CFP® or CRPC are a plus;
- Bachelor’s degree in Finance, Accounting, Economics or Marketing;
- Powerful communicator who reflects professional presence and is confident in interactions with clients and business partners;
- Highly dynamic individual who thrives in an interdependent team environment;
- Energetic self-starter who is flexible, conscientious, proactive, and detail-oriented;
- Self-driven, independent team member who effectively prioritizes and executes tasks; and embraces new challenges.