Associate Financial Advisor Jobs

About The Position

Requirements

• Join a team practice and support a seasoned financial advisor or advisors.
• Obtain the specified licenses and credentials within 150 days of hire.
• Maintain progress within licensing and appointment preparation timelines.
• Follow high standards of business and professional ethics and legal and regulatory requirements.

Nice To Haves

• Four-year college degree from an accredited institution.
• High level of confidence, perseverance, and a strong desire to succeed in a goal-oriented environment.
• Accountability for results.
• Outstanding verbal, written, and listening communication skills.
• Willingness and desire to learn from seasoned financial advisor(s) and participate in a collaborative, team-centric environment.

Responsibilities

• Obtain the required licenses and credentials within 150 days of hire: FINRA Series 7; active State Securities Agent Registration (S63 or S66); active IAR Registration (S65 or S66); and state Life, Health Insurance and Variable Products lines.
• Attend and engage in licensing coaching as required, and make progress within the program’s licensing and appointment preparation timelines.
• Assist seasoned financial advisor(s) in working with clients to help them achieve their financial goals.
• Serve as a key member of the team practice by creating and delivering a distinctive client experience.
• Support clients and prospects holistically and/or specialize in products or services.
• Develop and execute a marketing plan to achieve the practice’s client acquisition goals, where applicable.
• Identify clients to engage or re-engage in financial-planning relationships, where applicable.
• Gather and analyze data and develop financial-planning recommendations; help prepare and/or deliver financial plans, where applicable.
• Foster ongoing financial-planning relationships with clients, where applicable.
• Become a product expert, serve clients and prospects in that capacity, run illustrations, and develop product-centric recommendations, where applicable.
• Manage designated parts of the business, such as operations, process improvements, staff meeting agendas, or budgets and expenses, where applicable.
• Manage the practice’s client-service model and ensure its consistent execution, where applicable.
• Follow high standards of business and professional ethics and comply with legal and regulatory requirements when serving clients and prospects and performing work-related activities.