Associate Financial Advisor Job Description

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.