Financial Advisor's Associate

General Responsibilities

The Financial Advisor's Associate role is instrumental in integrating insurance, investment & planning services into our advisor's practices. You will support sales efforts by preparing essential materials, facilitating client onboarding, and managing account servicing, thereby improving operational efficiency.

Responsibilities:

Planning, Sales, and Service Support

 Conduct weekly one-on-one meetings with all Financial Representatives supported

INVESTMENT SERVICES SUPPORT

 Prepare, or collaborate with others, to develop an integrated package for Financial Representatives to deliver to their clients as part of a pre-sale package

 Proposal and Case Preparation

o Deliver comprehensive pre-sale kits including investment reports, account opening forms, and strategy proposals to support client investment solutions.

 Onboarding and Funding

o Manage and streamline client onboarding, account openings, and funding instructions to enable efficient client service.

 Account Servicing:

o Handle asset movements, account maintenance, and trading requests promptly, ensuring seamless client experience.

o Process, or collaborate with others to open/fund investment accounts and investment service requests such as funds disbursements, account transfers and trade correction requests

INSURANCE SERVICES SUPPORT

 Compile detailed client review/meeting kits which includes all materials needed for the approach, close, delivery and client review

 Prepare, or collaborate with others, to develop consistent, high quality life stage appropriate plans for every Financial Representative subscribing to the support team

 Set and adhere to standards such as services offered, pricing, turnaround times and quality.

 Participate in Development Team meetings to disseminate and gather information for the betterment of the reps and the office

 Maintain compliant electronic client files, complaint files and check and order logs

 Manage underwriting process which includes providing, or collaborating with others to provide:

o Pre-filling applications

o Pre-checking applications for completeness and accuracy

o Submitting applications

o Scheduling requirements and medical exams

o Monitoring of the daily reports and take action on cases needing attention

SALES SUPPORT ASSOCIATE

o Process, or collaborate with others to complete risk product service requests such as name and address changes, beneficiary changes, updates to Insurance Service Accounts to facilitate the collection of payments, etc.

o Prepare and manage client communications

o Other projects as assigned by Director of Operations

Education and Industry Experience

 Ability to assess client financial situations and analyze portfolios to develop and implement comprehensive plans aligned with client goals; including counseling representatives on a variety of proactive approaches and solutions

 Strong customer relationship and customer service skills

 Strong analytical, problem solving, written and verbal communication skills, with the ability to work well with others

 Strong attention to detail, accuracy and reliability with the ability to thrive in a fast-paced environment

 Committed to professional development (e.g. licensing, registration, designations)

Qualifications

 Preferred: Series 6 and Series 63 or Series 7 and Series 63 (Required within 1 year after hire)

 One to three years of securities industry experience preferred.

 Degree in finance preferred

 Demonstrated computer experience required. Minimum 40-50 wpm

 Strong organizational and time management skills with ability to set priorities and meet deadlines

 Ability to work with a high degree of accuracy in handling detailed work

 Excellent communication skills (verbal and written) with the ability to collaborate effectively with others

 Above average math and data entry skills

 Ability to multi-task and prioritize

 Ability to adapt to change, and identify process improvements

Location: 5x in Stamford office

Salary: 50-60k