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