The Associate/Service Advisor reports to the Lead Advisor and serves as the primary contact for customer relationship management and account servicing. This position requires a strong understanding of the financial services industry and products, and is critical in handling the day-to-day client management on behalf of the Lead Advisor.
This is a full-time, in-person position, and the selected candidate is expected to be on-site in the office in Wappinger Falls five days per week.
Essential Duties and Responsibilities
Supports Lead Advisor, including managing client needs regarding service, asset allocation, case design and financial planning
Responsible for client meeting preparation and follow-up, including assembling requisite paperwork, account reviews, report generation, and meeting documentation/notes
Consult with lead advisor on investment strategies based on individual financial and investment objectives; deliver advice and participate in client reviews
Manage data and plans in financial planning software
Learn the technical aspects of the advisor position and prepare to service clients independently
Identify sales and asset retention opportunities, including viable alternatives when traditional solutions may not apply
Deepen client relationships and establish credibility and rapport both in person and via phone/video meetings
Clearly articulate complex concepts to clients
Proactively communicate with clients and follow up on all contacts assigned
Manage and prioritize multiple competing priorities daily in pursuit of business objectives
Active engagement in marketing and sales efforts on behalf of the firm; not required to build own book of business
Commitment to culture requires a demonstration of professionalism, accountability, client focus, and teamwork
Other duties as assigned
Supervisory Responsibilities: None
Knowledge, Skills, and/or Abilities
Strong understanding of financial services industry and diverse investment products
Basic computer skills (Outlook, Word, Excel, and PowerPoint) are essential
Excellent communication skills, both verbally and in writing
Strong time management and organizational skills; able to work independently and effectively manage multiple tasks at once
Ability to build relationships with clients and internal partners, and product wholesalers
Experience with the following software is preferred
Redtail client CRM
MoneyGuide Pro/Elite
eMoney
Morningstar Advisor Workstation
Education and/or Experience
Bachelor’s degree in finance, accounting, or related field
The ideal candidate will have 3+ years of experience in the financial services industry, allowing for a strong understanding of broker/dealer operations and financial services products, including but not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts
Previous experience in the independent financial services culture preferred