Job Title: Associate Financial Advisor
Overview:
Our client is a prominent wealth management practice in St. Louis, seeking a highly motivated and detail-oriented individual to join our team as an Associate Financial Advisor. This role will be integral to the delivery of an exceptional client experience, focusing on investment management support and administration. You will collaborate closely with client-facing advisors and other team members to ensure seamless investment operations and superior service. This is a growth-oriented opportunity within a team deeply committed to professional development, continuous learning, and building the next generation of investment professionals. The ideal candidate will be passionate about investment management, operations, and delivering results for clients.
Primary Responsibilities
Client Support:
• Serve as a second-chair participant in client meetings when requested, providing support to the lead advisor and taking detailed notes for follow-up actions and documenting client discussions.
• Drive the onboarding of new investment clients.
• Manage paperwork for investment accounts.
• Monitor and process asset transfers and funding.
• Assist in managing client relationships by providing exceptional service and promptly addressing client inquiries.
• Support the lead advisor by understanding the client’s financial goals and objectives and helping prepare and organize client information for advisory meetings.
• Prepare and organize client financial documents and reports for review.
• Execute client meeting follow-up tasks and ensure timely resolution of action items.
Financial Analysis and Investment Planning:
• Assist in analyzing client portfolios and investment needs.
• Gather and interpret client data from discovery conversations for use in investment analysis and recommendations.
• Utilize planning software to generate investment modules and conduct various financial analyses.
• Support the development of comprehensive financial plans with an emphasis on investment planning.
• Conduct detailed financial analyses, such as cash flow projections and investment suitability assessments.
• Prepare investment planning discussions and deliverables for client meetings.
Investment Management & Administration:
• Implement strategies for newly acquired client assets and execute trades in alignment with portfolio objectives.
• Monitor portfolio alerts and ensure timely resolution of any issues related to client investments.
• Execute trades for purposes like tax-loss harvesting and portfolio rebalancing.
• Assist in managing and reinvesting maturing securities to align with investment goals.
• Drive the scheduling and preparation for investment reviews, ensuring advisors have relevant and up-to-date information.
• Monitor holdings, track performance, and administer advisory accounts effectively.
• Coordinate with the investment team to manage daily operations efficiently.
• Ensure compliance with regulatory requirements by maintaining precise and current trading records. Compliance and Documentation:
• Ensure compliance with industry regulations and internal policies.
• Maintain accurate and up-to-date client records, financial plans, and documentation.
• Prepare necessary paperwork for account openings, transfers, and other transactions.
• Prepare discussion points and deliverables to assist lead advisor in presenting financial plans and recommendations during client meetings.
Qualifications
• Bachelor’s Degree in a relevant field.
• Basic knowledge of financial markets, financial planning, and investment management concepts.
• Minimum 3 years of experience in the financial services industry, with demonstrated exposure to investment management operations.
• Proficient in financial planning software
• Series 7 license required; candidates who do not currently hold the Series 7 must obtain it within 60 days of hire.
• MO Life & Health licenses required; candidates who do not currently hold the licenses must obtain them within 60 days of hire.
• CFP Designation or desire to pursue CFP certification.
• Strong proficiency in Microsoft Office, especially Excel.
• Exceptional interpersonal and communication skills.
• Ability to work effectively in a team environment and contribute to investment strategies.
• Highly motivated with a strong ownership orientation and a procedural mindset.
• Ability to learn quickly and execute to exacting standards.
• Ability to thrive in a fast-paced, collaborative environment and learn quickly. If you are a driven, detail-oriented professional ready to grow within a record-setting practice, we want to hear from you. We are committed to investing in our team’s development through mentorship, continuing education support, and paths for career advancement.
Benefits
• Comprehensive benefits package including 401(k), health, vision, and dental coverage, plus generous PTO.
• Professional development opportunities including mentorship, continuing education support, licensing assistance, and paths for career advancement.
• Growth-oriented, collaborative team culture that values initiative, continuous learning, and long-term career development.
Note: This job description is intended to convey information essential to understanding the scope of the position and is not an exhaustive list of skills, efforts, duties, responsibilities, or working conditions associated with it.
Location: 5 days in St. Louis office