Financial Advisor Assistant - Wealth Management

We are an established and successful fee-only RIA operating from beautiful Fairfield, CA. Our Founder was an early adopter of the fee-only model and the CFP credentials. He’s built our firm with one driving passion; to help people. We are loyal to the fiduciary duty we have to our clients and build deep relationships with them so we can help navigate their best life in all areas they determine are important. We believe in deep financial planning work and taking the care to get the details right the first time. Our team currently consists of four advisors and two support staff. Our team-based approach is what makes us special, ensuring a much better experience both for team members and clients. We believe that if we always put the interests of the clients and the team ahead of our own, everything will work out for the best in the long run. We support each other to get the job done for our clients. We honor each person’s place in the process, but we never hesitate to jump in and help each other as needed. Our team is always kind and respectful to each other, and we expect the same from our clients and partners. We encourage and support our team to continue learning and growing, monitor for job satisfaction, and align individual strengths and interests to each role in every way that we can. And we also like to have fun!

As a Financial Advisor Assistant with our firm, you will work within the operations team the majority of the time while also supporting administrative tasks that are essential to keeping the office running smoothly. Ideally, you know the differences between accounts such as trusts, IRA vs ROTH, and qualified vs nonqualified, and you also know the steps that are needed to process them appropriately. In addition to having working knowledge of industry software, systems, and processes, you are exceptionally organized, have amazing attention to detail, and are committed to delivering a confidential, smooth, and confidence-inspiring experience for our clients with every interaction. Whether it’s answering the phones, completing paperwork, handling service requests, or ordering office supplies, you tackle it with a service heart and an accuracy and efficiency that can’t be beaten. You are a solutions-oriented professional who embraces technology, looking for ways to add efficiency. You are proactive, have impeccable follow-through, and take immense pride in your work and your reliability. You love to learn and are always finding ways to improve and expand your impact.

Duties & Responsibilities:

• Spend approximately 80% of your time working with the firm’s operations team and 20% handling essential administrative tasks
• Communicate, process, and follow up with clients on various client service items, including general questions, applications, withdrawal requests, beneficiary changes, etc. following all to completion
• Coordinate with advisors and clients to complete and process new account paperwork, transfers, and contributions and to keep client accounts in good standing
• Interface with custodians to complete new account applications and various account maintenance items, process cash and securities transactions, follow up as needed
• Assume cashiering function with Charles Schwab, ensuring accurate and efficient financial transaction processing
• Update and maintain client status and information within CRM (Wealthbox) and all internal systems and reports
• Follow, manage, and monitor task list, effectively prioritizing time-sensitive requests or issues
• Download, upload, and manage documentation within secure portals, ensuring accurate filing and record-keeping; generate reports for advisors as requested
• Schedule client meetings, maintain calendar, and coordinate scheduling internally and externally; monitor client meeting frequency
• Scan, copy, and distribute materials to clients, external professional contacts, and internal staff via email or mail
• Answer and transfer phone calls, greet clients and guests, manage office supplies, distribute mail, and maintain a professional and welcoming office environment
• Collaborate in a team environment to deliver a seamless and integrated client experience

Qualifications:

• 1 years’ experience in the financial services industry with a concentration in securities and investment operations highly preferred; may consider alternative experience that aligns with characteristics/traits
• Bachelor’s degree preferred; may consider associates degree or equivalent experience
• Familiarity with Black Diamond, Wealthbox, eMoney and Schwab preferred
• Advanced Microsoft Office skills
• Able to self-manage, prioritize and manage time effectively, while following established processes and procedures
• A curious nature and a commitment to continuous professional learning and development
• Excellent communication (written and verbal), relationship building, and organizational skills
• Effectively prioritize workloads and complete tasks within well-defined guidelines and time constraints
• Organizational skills and attention to detail are critical given the nature of paperwork, processes, and work, upon which both clients and the advisory depend