Junior Financial Advisor

The Bank of New Glarus•New Glarus, WI

About The Position

The Junior Financial Advisor supports the delivery of investment, financial planning, and wealth management services to existing and prospective clients. Working closely with senior advisors and investment team members, the role assists with client relationships, financial planning, investment research, account servicing, and business development, while developing the knowledge and experience needed to progress into a full Investment Advisor role. All activities must comply with Bank policies, Broker-Dealer requirements, and applicable regulatory standards. The position uses financial planning, CRM, and investment management platforms, including ClientWorks and Redtail, as well as Microsoft Office applications. The role has no supervisory responsibilities and may require occasional travel for client meetings, training, networking, business development, and visits to other Bank locations.

Requirements

Bachelor’s degree in finance or a related field.
One to three years of experience in investments, banking, financial services, sales, client service, or a related field is preferred.
Strong interpersonal and relationship-building skills.
Excellent verbal and written communication skills.
Knowledge of investment products, financial planning concepts, and financial markets.
Strong analytical, problem-solving, decision-making, organizational, and prioritization skills.
Ability to interpret business, regulatory, and financial information and solve practical problems in situations with limited standardization.
Ability to read and interpret business publications, professional journals, technical procedures, and governmental regulations.
Ability to present information effectively and respond to questions from clients, colleagues, and the public.
High attention to detail and accuracy.
Proficiency with Microsoft Office Suite, including Word, Excel, Outlook, and PowerPoint.
Proficiency with standard office equipment and technology.
Ability to perform mathematical calculations involving rates, ratios, percentages, and statistical information.
Ability to exercise sound judgment while maintaining confidentiality.
Commitment to ethical conduct, professional development, and client-focused service.
Wisconsin Life Insurance License required, or ability to obtain it within an established timeframe.
Willingness to obtain the CFP designation within an established timeframe.

Nice To Haves

Working knowledge of financial planning, CRM, and investment management systems.
Previous experience supporting financial advisors or working in a customer-facing financial services role.
SIE, Series 7, and Series 66 (or Series 65, where applicable), or ability to obtain them within an established timeframe.

Responsibilities

Assist with client meetings, annual reviews, portfolio discussions, and responses to client inquiries.
Build and maintain relationships with existing and prospective clients; maintain ongoing contact, provide reviews, address changing needs, and deliver customer service.
Maintain accurate client records and documentation, and send personalized acknowledgments and follow-up communications.
Gather client financial information and assist in preparing financial plans using approved planning software.
Help develop recommendations based on client goals, objectives, risk tolerance, and suitability requirements.
Research investment products, market trends, economic conditions, and industry developments using approved resources.
Prepare portfolio reviews, performance reports, investment proposals, and client presentations.
Monitor accounts for suitability, rebalancing opportunities, and ongoing service needs.
Collaborate with the investment team to evaluate mutual funds, ETFs, annuities, and other investment solutions.
Process account openings, transfers, maintenance requests, investment transactions, and other account service activities.
Ensure applications, supporting documents, and disclosures are complete, accurate, and submitted on time.
Maintain client information in CRM and portfolio management systems; prepare correspondence, maintain records, file documents, and follow up on outstanding requirements.
Coordinate with operations, compliance, custodial, and support teams to resolve client service issues.
Develop new client relationships through referrals, networking, walk-in traffic, phone contacts, and internal bank referrals.
Identify opportunities to strengthen client relationships, expand services, and introduce relevant Bank products and services where appropriate.
Participate in marketing initiatives, community events, networking opportunities, and client appreciation activities.
Comply with Bank, Broker-Dealer, FINRA, SEC, Wisconsin, and other regulatory requirements; ensure recommendations and transactions meet suitability standards.
Support Bank Secrecy Act (BSA) and Anti-Money Laundering (AML) initiatives, protect confidential client information, and report compliance concerns, complaints, and risk-related matters to management.
Complete required compliance training and continuing education.
Pursue professional growth through training, industry publications, seminars, licensing, and other development opportunities.
Maintain ethical conduct and professionalism, contribute to team objectives, support departmental and organizational initiatives, and foster effective working relationships.
Support the Bank’s efforts in meeting the Community Reinvestment Act (CRA).