Associate Advisor Job Description
Associate Advisor Duties & Responsibilities
To write an effective associate advisor job description, begin by listing detailed duties, responsibilities and expectations. We have included associate advisor job description templates that you can modify and use.
Sample responsibilities for this position include:
Associate Advisor Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Associate Advisor
List any licenses or certifications required by the position: CFP, LEED
Education for Associate Advisor
Typically a job would require a certain level of education.
Employers hiring for the associate advisor job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in Business, Finance, Education, Communication, Health Insurance, Accounting, Social Work, Public Health, Management, Psychology
Skills for Associate Advisor
Desired skills for associate advisor include:
Desired experience for associate advisor includes:
Associate Advisor Examples
Associate Advisor Job Description
- Proactive client account reviews and sales calls, , reactive client service and trade execution
- What do you need to succeed?
- Manage the team’s marketing material and organize marketing activities
- Manage the team’s website and the Investment Advisor’s LinkedIn profile
- Develop connections and relationships that lead to bringing new clients to the firm
- Develop affiliations with the community and appropriate community groups
- Actively participate in community networking events to build prospect base and increase database of Centers of Influence
- Prospect follow-up
- Assists in servicing the clients of the practice
- Handles all security transactions for the practice as directed
- Strong interpersonal skills with effective communications and persuasive ability
- WME - Wealth Management Essentials
- Familiarity with portfolio management, including tactical asset allocation, traditional and nontraditional asset classes, and various investing styles is a minimum requirement
- Develop investment plans and written proposals for prospects and clients
- Deploy assets into suitable financial products based on the client’s risk/reward tolerances and demographic profile
- Proactively service clients and address investment related questions
Associate Advisor Job Description
- Reviews policies and procedures related to processing transactions
- Responds to ad hoc requests, prepares client correspondence, completes forms, generates reports, processes confidential documents, and coordinates with Home Office on related issues
- Assists with the coordination, preparation, and follow-up for client meetings, including compliance requirements, deliverables, and reports
- Prepares and ensures new business paperwork processes successfully which may include preparing reports, obtaining appropriate signatures, preparing documentation, tracking new applications, and providing follow-up as required
- Complete administrative tasks such as reviewing reports, risk management, etc
- You will support a senior IA who continues to grow his business
- File correspondence and other documents in internal databases
- Create documentation of client correspondence for tracking purposes
- Attend and contribute to client meetings and presentations
- Conduct client discovery, implementation and review meetings with skill and professionalism
- Initiative and a desire to be in business for oneself
- Top performing professional whose career demonstrates a proven track record of success
- Must be personable and a problem solver
- We are looking for an individual who is a dedicated team player
- Excellent working knowledge of financial institution products and services, , life insurance, annuity and securities products
- Proficient in operational procedures related to member accounts
Associate Advisor Job Description
- Present recommendations to CPA’s prior to their client meetings
- Proactively call clients to deepen business relationships and identify potential opportunities
- Proactively call prospects to schedule appointments with the Financial Advisors
- Research information for client and prospect meetings
- Works in conjunction with the Regional Managers to complete request from financial advisors/independent branch offices
- Ensures documents received from outside offices are in good order and can be processed by Home Office Operations
- Reviews daily notifications from Compliance and Operations then delivers to the appropriate financial advisor for advisement
- Identify private investor prospects, market the firm’s financial services and convert prospects to clients with assets under supervision
- Partner with senior advisor to assess functions of the business in an effort to identify areas of opportunity to continuously elevate and grow the business, which includes gathering assets, creating a value proposition for marketing, introducing financial planning and portfolio management
- Develop and service existing client relationships, monitor clients’ investment objectives on an ongoing basis, work to win additional available assets under supervision, communicate value of their William Blair relationship
- General financial planning knowledge and working towards a financial planning designation
- Interest or intent to pursue Para Planner designation
- In-depth service skills with a strong commitment to service excellence
- Analytical ability, persistence and an entrepreneurial perspective to build
- Patience, empathy and tact, confidentiality, initiative, ability to work in stressful situations, friendly, outgoing and professional personality, ability to be flexible
- Self-starter who's always looking for ways to help and grow
Associate Advisor Job Description
- Conduct independent research and analysis on equities, fixed income, mutual funds, and alternative assets
- Conducts periodic reviews of portfolios and provide appropriate reports addressing client’s ongoing advisory needs
- Participates in the business development process as needed with prospective clients to deepen relationships and conduct consultations during the enrollment process
- Focuses on professional development by maintaining an in-depth understanding of financial planning, capital markets, and the financial services industry
- Continuously identifies process improvement opportunities along with innovative business solutions
- Participates in special projects and perform other duties as assigned
- Ensure best service possible while always considering bottom line profitability
- Remain aware of clients’ needs, both individually and by segment, and make suitable recommendations based on those current needs
- Promotes established investment models and strategies that are suitable for our targeted clients
- Accept and enter orders from the clients in the states where they are registered
- Top performing individuals who demonstrate a proven track record of success through college achievements, employment tenure, consistent promotions or career advancement
- Entrepreneurial drive and a desire to build your own business by leveraging personal network to generate new clients, build, leverage and maintain relationships, while providing superior client service, have resilience to recover from rejection, learn a complex business, and have the self-discipline to focus on activities that will drive results
- Ability to provide information on goal accomplishments, promotions, recommendations and awards, and advanced certifications of a successful career
- Pass background check and have a clean U4
- Ability to obtain required securities and state licenses (Life Producer, Series 7&66) within 120 days of contract hire
- Possess a high level of confidence, perseverance and a strong desire to strive and achieve in a successful commissioned sales environment
Associate Advisor Job Description
- Cooperate and collaborate with colleagues to achieve shared team goals
- Complete initial and ongoing firm and industry training requirements
- Stay current with industry rules and regulations firm policies and procedures
- Identify situations that need to be brought to the attention of the Financial Advisor or escalated to the Branch Manager, including suspicious client and/or employee activity
- Other duties as assigned by the Senior Vice President/Investment
- Serve as an expert in learning analytics and the Metrics that Matter software
- Collects, validates, and analyzes financial data in support of developing comprehensive personal financial plans for high net worth clients
- Inputs data into financial planning software and the development of initial planning recommendations
- Review and process commission revenue from multiple business partners and ensure accuracy and completeness according to the agreement and dealer commission schedules
- Research and resolve discrepancies between actual and expected cash receipts and revenue data from the assigned companies
- This position does not offer relocation (Local candidates only)
- The right individual will have strong leadership skills, be competitive, coachable, self-disciplined, assertive, take appropriate initiative in order to succeed and have experience in a fast paced work environment
- Must be highly motivated, have great attention to detail, integrity, strong business acumen, organized, enjoy working with and helping people in order to service clients face to face
- 1-2 years of similar work experience (preferred)
- When we meet with you, we can share with you our resources and programs to meet your career goals that help your clients and business achieve more success
- We would work with your client base and business plan and show you how to be more successful