Associate Advisor

Job Title: Associate Advisor

Reports To: Certified Financial Planner (CFP®)

Job Summary:

We are seeking an ambitious and client-focused Associate Advisor to join our financial planning team. The Associate Advisor will play a key role in supporting the Lead Advisor by assisting with client-facing activities, financial planning tasks, and operational efficiency. This position also includes responsibility for coordinating marketing efforts to build brand awareness and client engagement. The ideal candidate has a passion for helping clients achieve their financial goals, a strong analytical mindset, and excellent interpersonal skills.

Key Responsibilities

1. Client Relationship Support

• Participate in client meetings to assist the Lead Advisor in delivering personalized financial advice.

• Prepare financial plans, reports, and presentations for client reviews.

• Follow up with clients on action items and ensure all required tasks are completed.

• Serve as a secondary point of contact for clients, responding promptly to inquiries.

• Support onboarding processes for new clients, including account setup and data gathering.

2. Financial Planning and Analysis

• Assist in creating and maintaining comprehensive financial plans.

• Utilize financial planning software to perform tax analysis and develop strategies.

• Conduct research on investment products, tax strategies, and financial planning techniques to support client recommendations.

• Stay informed of industry trends, market conditions, and regulatory changes to enhance client solutions.

3. Compliance and Operations

• Ensure all client documentation and records meet compliance standards.

• Assist in preparing and submitting compliance reports to regulatory agencies.

• Maintain accurate records in the client relationship management (CRM) system.

• Support periodic audits to ensure adherence to internal and external compliance policies.

4. Marketing and Business Development

• Develop, implement, and monitor marketing initiatives to attract new clients and engage existing clients.

• Monitor key performance indicators (KPIs) for marketing campaigns and report results to the team.

• Build relationships with community organizations and referral partners to enhance business opportunities.

5. Administrative and Team Support

• Schedule and confirm client appointments, ensuring smooth coordination for the Lead Advisor.

• Assist with office operations, including maintaining supplies and organizing workflows.

• Support special projects as assigned by the Lead Advisor.

Qualifications

Education and Experience

• Bachelor’s degree in Finance, Business Administration, Marketing, or a related field.

Skills and Knowledge

• Proficiency with financial planning software (e.g., Holistaplan, eMoney, MoneyGuidePro) and MS Office Suite.

• Knowledge of marketing tools and platforms, such as HubSpot, Canva, or similar.

• Strong understanding of financial planning concepts, tax strategies, and investment products.

• Excellent written and verbal communication skills.

• Highly organized with a keen attention to detail.

• Strong analytical and problem-solving abilities.

Certifications

• FINRA Series 65 or 66 license preferred (or willingness to obtain within 2 months).

• CFP® or CFP® candidate status preferred.

Attributes for Success

• Client-focused mindset with a commitment to providing exceptional service.

• Entrepreneurial spirit with a proactive approach to problem-solving.

• Ability to balance multiple responsibilities and adapt to changing priorities.

• Passion for marketing and growing the business.

• A collaborative team player with a desire to grow within the financial planning profession.

Compensation and Benefits

• Competitive salary with performance-based incentives.

• Professional development and continuing education support.

• Opportunities for career growth, including potential transition into a Lead Advisor role.

• Searching for a candidate for 24-32 hours a week with the potential to go full-time.

This role offers a unique opportunity to develop your financial planning and marketing expertise while contributing to the success of a growing practice. Join us in helping clients achieve their financial aspirations and building a thriving business!