Associate/Support Advisor, New York

The Associate/Service Advisor reports to the Lead Advisor and serves as the primary contact for customer relationship management and account servicing. This position requires a strong understanding of the financial services industry and products, and is critical in handling the day-to-day client management on behalf of the Lead Advisor.

Essential Duties and Responsibilities

Supports Lead Advisor including managing client needs regarding service, asset allocation, case design and financial planning

Responsible for client meeting preparation and follow-up, including assembling requisite paperwork, account reviews, report generation and meeting documentation/notes

Consult with lead advisor on investment strategies based on individual financial and investment objectives; deliver advice and participate in client reviews

Manage data and plans in financial planning software

Learn the technical aspects of the advisor position and prepare to service clients independ

Identify sales and asset retention opportunities; including viable alternatives when traditional solutions may not apply

Deepen client relationships and establish credibility and rapport both in person and via phone/video meetings

Clearly articulate complex concepts to clients

Proactively communicate with clients and follow up on all contacts assigned

Manage and prioritize multiple and competing priorities on a daily basis in pursuit of business objectives

Active engagement in marketing and sales efforts on behalf of the firm; not required to build own book of business

Commitment to culture requires a demonstration of professionalism, accountability, client focus, and teamwork

Other duties as assigned 

Supervisory Responsibilities: None

Knowledge, Skills, and/or Abilities

Strong understanding of financial services industry and diverse investment products

Basic computer skills (Outlook, Word, Excel and Power Point) are essential

Excellent communication skills, both verbally and in writing

Strong time management and organizational skills; able to work independently and effectively manage multiple tasks at once

Ability to build relationships with clients and internal partners and product wholesalers

Experience with the following software preferred

Redtail client CRM

MoneyGuide Pro/Elite

eMoney

Morningstar Advisor Workstation

 

Education and/or Experience

Bachelor’s degree in finance, accounting or related field

The ideal candidate will have 3+ years of experience in the financial services industry allowing for a strong understanding of broker/dealer operations and financial services products, including but not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts

Previous experience in the independent financial services culture preferred

 

Certificates, Licenses, Registration

Series 7 and 63 required

Series 65/66 preferred: (or ability to obtain)