What are the responsibilities and job description for the Associate/Support Advisor position at Kestra Financial Independent Advisor?
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.
This is a full-time, in-person position, and the selected candidate is expected to be on-site in the office in Wappinger Falls five days per week.
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 independently
- 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 competing priorities daily 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 PowerPoint) 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 is 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)