We are a boutique wealth management firm, helping our clients achieve financial security, plan for and comfortably retire, and leave the legacy that’s important to them. We are service-oriented, and our clients stay with us because of the relationships we build; our goal is to have a lifelong bond with our clients. We have a blended business and always do what is right for the client, including financial planning, retirement planning, estate planning, and investment management. No matter the phase of life; we are here to be our clients’ advocate and guide as they navigate the complexities of life. We are a small, close team and that really cares about each other and the mission of taking care of our clients!
If you are an experienced Financial Advisor's Assistant who wishes to work in a financial services firm where you can make an immediate contribution, then do not miss this great opportunity! You will bring experience in executing the service needs of clients and in supporting advisors. This may include setting up new accounts, scheduling meetings, answering the phones, being a critical piece to the client experience, and many other things. This is an opportunity create, implement, and manage the operational aspects of a firm with wide latitude. You're an administrative pro who wants to be more and do more. You are organized and able to work independently while thoroughly enjoy being part of a team. You love organizing paper and projects and enjoy filling out forms meticulously. You’re a go-getter when it comes to follow through and details rarely slip your grasp. You take immense pride in your work. Due to the nature of our industry, this is a full time, in office position.
This position will support the office in in the following ways:
- Perform functions for the office including maintaining paper and electronic files, preparing recurring and ad hoc correspondence, running reports, answering telephones, scheduling appointments, copying materials, and all else that falls under the operations or administrative umbrella
- Prepare and ensure new business paperwork successfully submitted which includes preparing forms, obtain appropriate signatures, prepare documentation to upload to home office, track new insurance applications and coordinate rollovers
- Correspond with clients to complete new accounts, asset transfer, and other forms and resolve client service challenges in accordance with stated service levels
- Handle routine matters for client accounts to include processing name and address changes, account applications, and bank authorizations, answering client questions via telephone and face to face
- Work with the Founder to establish standards and set expectations for operational practices ensuring conformance with all FINRA and Broker Dealer rules and regulations
- Spearhead the development, communication and implementation of service and client experience strategies and processes
- Contact home office and product sponsors to resolve errors as needed
- Prepare and distribute marketing materials; experience with managing Facebook and LinkedIn accounts preferred
- Research information needed for client meetings; prepare documents, notes, reports, and presentation materials as requested
- Maintain compliance records, logs, and blotters
- Assist with other duties and founder-approved projects, research requests and follow-up items as assigned
The ideal candidate:
- College graduate highly preferred; or equivalent combination of work experience and education
- 2+ years’ experience supporting a financial advisor or similar setting
- Highly organized, with an absolute attention to detail
- Excellent follow-through and communication regarding status of open items
- Client-first attitude: ability to interact with clients professionally and respond to clients in a timely manner
- Editing and writing skills to initiate, compose, format, proofread and carefully edit various professional business documents and correspondence
- Strong time management skills; Ability to prioritize and coordinate multiple work assignments and deadlines efficiently despite frequent interruptions
- Excellent interpersonal and communication skills; ability to communicate in a pleasant, tactful and effective manner (both orally and in writing), and to handle difficult, sensitive issues
- Basic computer skills and experience in using Microsoft Office suite, email, internet, databases, and other standard office desktop applications including client relationship management
- Ability to analyze situations, define problems and/or objectives, identify relevant factors, formulate logical conclusions and suggest alternative solutions
- Must be willing and able to complete a background and credit screening as an employee of a FINRA-regulated advisor; Final job offer is dependent on successful completion and approval by the broker/dealer firm
