Associate Advisor

Our company, a top 20 Hartford County Registered Investment Advisory firm, employs a unique method of subscription based financial planning and builds relationships of trust and collaboration with our clients. We believe in our formula and have a nearly 30-year history of providing sound, caring financial advice to families and businesses. As our business and team continues to grow, we are focused on hiring exceptional people. There is a continuous opportunity to help clients proactively, to be consultative with them, and to improve the business as a whole. We look for those with a proven record exhibiting those characteristics. We offer career growth and balance, as well as a benefits package including 15 days PTO, 8 paid holidays, a competitive base salary, health insurance benefits, a generous 401(k) profit share, and a trimester bonus based on growth and revenues. This is an opportunity to learn how to be an advisor in a complex and thoroughly meaningful way.    

Position Overview

Your primary responsibility in this position is to support the Senior Wealth Advisors and to create and nurture long-term relationships and “WOW” our subscribers. You will anticipate needs, resolve problems, and follow through on agreed upon deliverables. You will provide consistent, accurate and timely results with research, meeting preparation, meeting attendance and note-taking, reporting, analysis, as well as input and management of the financial plan.

You will follow the highest standard of business and professional ethics, as well as legal and regulatory requirements. You are an excellent communicator that can grasp others needs and develop remarkable ways to fulfill them. You can move through your work efficiently while recognizing that the detail work in our business is critical. You have enough experience and/or common sense to know that the first answer isn’t always the right one and you are incredibly resourceful and thoughtful in all your interactions.

Primary Responsibilities

• Support financial advisors with preparation of well-polished documentation and presentation materials for meetings
• Attend and participate in meetings with prospects and existing clients
• Record meeting notes on topics covered, changes in client’s needs, and action items
• Summarize meeting and schedule action items in contact management software
• Complete all action items utilizing firm processes and procedures
• Work in conjunction with the Senior Wealth Advisors to deliver services to clients
• Work with team to ensure all actions for clients are tracked and completed
• Assist with initiatives focused on value-add content delivered to clients
• Communicate and follow up regularly with clients, developing strong relationships and rapport with clients
• Coordinate financial plan development, including initial financial plan data entry, development and working with financial advisor to develop recommendations
• Create quarterly and/or annual client summaries of net worth, estate distribution, insurance, income tax, cash flow projections, and investments
• Monitor client financial plan and advise on changes that are necessary
• Place trades as directed by supervisor / coordinate with investment management team to ensure execution of investment strategy
• Adhere to all compliance/risk procedures, follow corporate and industry protocols, and protect the interest of the client and the firm at all times

Qualifications

• Bachelor’s degree required
• Financial services experience required; ideally in B/D or RIA environment
• Series 7/63/65/66 highly preferred or willing to obtain
• Completion of CFP® coursework and/or intention to obtain CFP® designation within 3 years
• Competency in investment and financial planning with proficient technical capabilities
• Advanced level computer skills; familiarity with eMoney software preferred
• Excellent oral, written and interpersonal communication skills. 
• A passion to help clients achieve their goals, and a desire to strengthen alliance partnerships to facilitate this work
• Exhibits a strong desire to develop personal and professional skills, together with knowledge and understanding of investment philosophies and planning practices
• Strong analytical, organizational, presentation, and computer skills
• Proactive team player able to work in a fast-paced environment