Associate Financial Advisor

2 weeks ago

Thousand Oaks, United States Forum Financial Management, LP Full time

Associate Financial Advisor- Thousand Oaks, CA


Forum Financial Management, LP

WWW.FORUMFINANCIAL.COM


Forum Financial Management, LP is a rapidly growing Registered Investment Advisory Firm (RIA) that has over 7 billion AUM. Forum was founded in 2005, became an independent RIA in 2009, and has grown by greater than 25% annualized over the last 10 years. At Forum, we use a highly diversified investment strategy derived from decades of academic research. While this strategy has been called many things, we think the term “evidence-based investing” best describes this approach. We strive to take the emotions out of investing and counsel clients to avoid making short-sighted moves based on current market conditions.


We are currently seeking an Associate Financial Advisor (AFA) to join our Thousand Oaks Office who is eager to learn about financial planning and the investment management industry and is dedicated to helping take our company to the next level. This position will be expected to be in the office 5 days a week.


This is an entry-level position for someone who would like to grow into a Certified Financial Planner™ professional with a book of clients. The timeline to becoming a Certified Financial Planner™ is generally three years. During that initial period, the primary responsibilities will be administrative and general client service duties to support our team of professionals. Once the AFA has obtained the Certified Financial Planner™ designation, the AFA’s responsibilities shift to providing advice directly to clients and conducting business development activities focused on growing a clientele, in addition to supporting others on the advisory team.



This individual will be responsible for:

Job Responsibilities:

  • Deliver exceptional client service and provide operational and administrative support to the firm’s financial advisory team
  • Facilitate various transactions and complete necessary paperwork on behalf of clients, including but not limited to, initiating money movements, establishing new investment accounts, transferring accounts, closing accounts, and account maintenance
  • Collaborate with the Firm’s third-party custodian service teams and various other entities to carry out client services
  • Ensure accurate record keeping and documentation of all client and vendor interactions using our customer relationship management (CRM) tool
  • Help teach clients how to utilize our client facing technology systems
  • Scheduling and preparation of client meetings
  • Ongoing maintenance of client electronic files
  • Assist with ad hoc projects, and help to maintain and improve firm processes and workflows to create efficiency
  • Review and approve daily trades
  • Assist Advisors during client meetings; transcribing meeting notes and creating follow up actions
  • Provide ongoing service in accordance with company and vendor policies, practices, and regulations

Qualifications:

  • Bachelor’s degree, preferably in Financial Planning, Business, Economics, Finance, or Psychology
  • Excellent interpersonal, communication, and writing skills
  • Ability to formulate creative ideas and to analyze, evaluate, and follow through on assigned tasks
  • Ability to interact with high-net-worth clients in a friendly, helpful, respectful manner
  • Ability and willingness to operate efficiently in a fast-paced environment with a high volume of activity.
  • Experience with all Microsoft Office programs (Word, Excel, and Outlook) and Adobe Acrobat, and the ability to learn new software programs quickly
  • Must be a goal-oriented team player

Salary and Benefits:

  • This is a non-exempt, full-time position
  • A full benefits package including Health, Dental, Disability and Life Insurance
  • A 401k plan that includes a company match
  • Paid Time Off
  • This position will be compensated on an hourly basis. The hourly rate will be commensurate based on experience and qualifications (Range $57k-$62k).
  • Eligible for a $5k increase after 6 months of employment, a merit increase after the first year of employment, and annual COLA increases. Additional merit salary increase after obtaining CFP license.


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