Associate Financial Advisor
Entry Level
Overview
This Associate Financial Advisor is responsible for and serves as a point of contact for his/her assigned client relationships, working in a team environment. This position demonstrates a broad base of knowledge across all functions of financial planning, including cash flows, investments, insurance, tax management, retirement analysis and estate planning. This Associate Financial Advisor is responsible for supporting and managing client relationships and is very comfortable interacting with clients.
Responsibilities
- Contact and meet with assigned clients as part of a systematic process to discuss goals and changes in life circumstances and use findings to drive financial and investment recommendations.
- Identify new assets within existing book of business as well as new opportunities.
- Develop and present investment advice appropriate to individual client situations and in line with the firm’s policies and practices.
- Become a primary contact for clients’ financial questions, operational requests and trading.
- Prepare client reports and financial plans for new and existing clients.
- Review client investments to ensure proper allocation and administer trading and re-balancing strategies as needed.
- Handle para-planning tasks including data analysis, client reports, and financial plans for new and existing clients.
- Advise clients on financial issues other than investments which may include home purchases, mortgages, life insurance, disability insurance, college planning, tax planning, estate planning, retirement…etc.
- Contribute to managing existing client portfolios regarding account changes, investment transactions, scheduling, reports, and other account administration.
- Utilize firm’s various applications to obtain account information and execute service requests.
- Bring complex problems or concerns to Partners.
- Work with team to onboard clients of a newly acquired firm.
- Help set up and document processes and procedures for the firm.
- Present 401k plan participant group education sessions.
- Utilize CRM to maintain business relationships and sales pipeline.
- Participate in MFG Task Groups or Project Teams as directed.
- Attend compliance and continuing education training sessions as required by regulatory agencies and MFG and meet compliance standards in all tasks and projects.
- Comply with company policies, procedures and regulations.
