Associate Wealth Advisor

2 weeks ago

Sarasota, United States ISACA Full time

Associate Wealth Advisor Job Summary:

The purpose of this position is to provide detailed support to the firm’s Wealth Advisors who, in turn, provide wealth management services and advice to meet our clients’ financial planning needs. The Associate Wealth Advisor will establish new client relationships in addition to providing advisory services and support to a select group of clients. With financial planning responsibility for a portion of the firm’s smaller to mid-size clients, the Associate Wealth Advisor has the opportunity to to deepen and grow these relationships. The incumbent will be very involved with management of client investment portfolios as well as support for other financial planning the firm’s clients may need, such as retirement forecasting, tax planning, insurance and estate planning. Responsibilities Responsible for the day-to-day servicing of all clients not in the “A” or higher service level classification. This includes routine correspondence and outreach, investment research and allocation questions, trading on accounts as requested and recommended, preparation for/delivery of routine client meeting materials and follow-up on action items resulting from such meetings. Assist with other “client touch” servicing needs for these clients according to the firm’s current research. Assist Senior Wealth Advisors with preparation for meetings with clients in the “A” or higher service level classification, to include meeting packet information. Assist, as requested, with follow-up on action items from these client meetings. Assist the Senior Wealth Advisor with preparation of presentations at initial meetings with prospective clients or at prospective client events, as requested. Identify follow-up Action Items and communicate with prospective clients and Client Service team members as needed to initiate the new client on-boarding process. Collect all necessary data from clients to complete net worth and retirement forecast input to the firm’s financial planning software programs. Complete input and analysis of results, write-up as requested and assist Wealth Advisors with delivery of financial plan results to new and existing clients. Perform periodic rebalancing of client accounts according to established investment models, taking into account current trade restrictions, cash balance minimums and the impact of potential capitals gains and losses. Assist with the completion of comprehensive client financial plans, to include preparing cash flow plans, input for income tax forecasts, insurance needs analyses and write-ups or analyses of client estate plans - to help identify planning gaps and corrective actions needed. Assist with implementation of corrective actions when possible and upon request. Assist Client Service Department representatives with client account paperwork, to ensure that all client suitability calculations, compliance disclosures, investment objectives and investment selections are documented and completed on a timely basis. Engage in prospecting activities to bring in new clients and assets to the firm, to include expanding the firm’s social media presence and networking events to attract and inform younger generations of potential financial planning clients. Qualifications Industry Experience Requirements Bachelor of Science degree in business from an accredited 4-year university. 2-3 years’ work experience in a business environment preferred; work experience in the financial planning and/or investment advisory fields highly desirable. Certified Financial Planner (CFP) certification preferred, or the ability to obtain this certification within one year of employment. Active licenses in the following areas, or a willingness to obtain them within 1 – 2 years of employment: Series 65 or life/health/annuity insurance licenses. If securities licensed, Form U-4 and U-5 records should be free of complaints. Knowledge, Skills, & Abilities: Excellent verbal, written, presentation, and interpersonal communication skills. Superior relationship management skills. A “business development” mindset. A positive “how can I help?” team attitude and an exceptional client service orientation. A genuine interest in serving and caring for clients. Excellent organizational and time management skills. Proficiency with Microsoft Office Suite. Apple computer environment. NOTE: References and background checks will be conducted on final candidates.

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