Careers
Support Advisor
This Support Advisor works directly with Lead Advisors to assist with the wealth management and financial planning needs of clients through coordination and delivery of client service and meeting preparation. This position is responsible for providing support to Lead Advisors including data gathering, case design, scenario building, financial plan development and financial plan implementation. Support advisors participate in marketing team and firm goals, attending client and prospect meetings, become proficient in taking notes and meeting follow up.
Duties & Responsibilities
- Initiate and field client calls on various planning items, miscellaneous requests and guidance on various topics as appropriate
- Perform special request analyses for clients (e.g., mortgage analysis, social security analysis, etc.).
- Provide support for the financial planning needs of clients including:
- Conduct research as needed and work with client’s other advisors (attorneys, CPAs, etc.) to obtain all necessary data for financial planning analyses.
- Prepare all retirement forecasts, cash flow analyses, education forecasts, insurance analyses, estate flows, etc.
- Identify areas of opportunity for clients based on financial planning analyses.
- Create drafts of financial plans.
- Prepare materials for client meetings; work with other team members including Client Service Associates to ensure client meetings are prepared for thoroughly and accurately.
- Prepare and process paperwork for client transactions as requested, including but not limited to opening new accounts, closing accounts, transferring assets, deposits, withdrawals, account title changes, address changes, etc.; communicate status of transactions to clients and Advisors (e.g., when assets have transferred, when deposits are received, etc.).
- Collaborate with Advisors and Client Service Associates for proper client onboarding, with duties including client education (e.g., online account access) and proper account set up.
- Provide ongoing client account maintenance (e.g., all money requests, checks, wires, ACHs, regular periodic transfers, transfer of securities amongst accounts, special accounts, ongoing special client instructions, etc.).
- Attend client meetings and take notes as requested; managing delegation and completion of meeting follow-up items.
- Liaise with client’s attorneys and accountants as needed.
- Assist with special projects as required.
Qualifications
- Bachelor’s degree preferably in business, accounting, finance, economics or related experience.
- 2+ years of experience in client service in the financial services industry (preferably with an independent registered investment advisory firm).
- Proficiency in Microsoft Office; experience with various financial planning, CRM, portfolio management and document management software.
- Series 65 license or intention to obtain within 6 months of hire
- Progression toward CFP designation.
Other Skills & Experience
- Continuously exhibits personal integrity and professional initiative.
- Reliable, follows through on commitments, does not shrink from new challenges.
- Possesses a passion to help new and existing clients.
- Must be organized, detail-oriented and able to manage and prioritize tasks.
- Demonstrates a commitment to accuracy by delivering high quality work.
- Excellent written and verbal communication.
- Collaborative and able to work effectively with others.
- Flexible team player who is highly adaptable to change and open to new ideas.
- Demonstrated ability to work successfully in an entrepreneurial, small company environment.
- Uphold firm’s purpose, vision and values.
Client Service Associate
The Client Service Associate is responsible for the day-to-day servicing of clients and account maintenance, serving as a key contact person for all account-related client requests. This role is also responsible for providing general Backoffice support and non-advice-related support to clients, including preparing standard client reports, maintaining contact with clients to provide or obtain updated information, scheduling client meetings, and responding to administrative client queries.
Duties & Responsibilities
- Identify, prepare and process paperwork for client transactions as requested, including but not limited to opening new accounts, closing accounts, transferring assets, deposits, withdrawals, account title changes, address changes, etc.; communicate with clients and advisors on status of and acting proactively maintain progression of transactions (e.g., when assets have transferred, when deposits are received, etc.).
- Serve as point of contact for incoming client communications, including phone calls and emails
- Provide ongoing client account maintenance (e.g., money requests, checks, wires, ACHs, regular periodic transfers, required minimum distributions (RMDs) transfer of securities amongst accounts, special accounts, ongoing special client instructions, etc.).
- Check custodian alerts daily and perform appropriate actions.
- Generate client reports.
- Responsible for scheduling client meetings (annual reviews one-off client meeting requests or prospect meetings).
- Assist with client meeting preparation and completion of action items generated from client meetings.
- Maintain accurate notes and records in the CRM and ensuring completeness of account and client recordkeeping in data aggregation software.
- Assist with special projects as needed.
Qualifications
- Bachelor’s degree in business, accounting, finance, economics or related experience (preferred).
- 1+ year of experience in client service and/or operations in the financial services industry
- Proficiency in Microsoft Office (required); experience with CRM, document management, and portfolio accounting software (preferred).
- Series 65 license or progress toward obtaining (preferred)
Other Skills & Experience
- Must be organized, detail-oriented and able to multitask.
- Ability to work independently as well as be collaborative and able to work effectively with others.
- Regularly exhibits high service standards that ensure client satisfaction and advocacy
- Speaks and writes in a clear, professional, and discernable manner
- Possesses a passion to help new and existing clients
- Continuously exhibits personal integrity and professional initiative.
- Reliable, follows through on commitments, does not shrink from new challenges.
- Possesses a passion to help new and existing clients.
- Must be organized, detail-oriented and able to manage and prioritize tasks.
- Demonstrates a commitment to accuracy by delivering high quality work.
- Excellent written and verbal communication.
- Collaborative and able to work effectively with others.
- Flexible team player who is highly adaptable to change and open to new ideas.
- Demonstrated ability to work successfully in an entrepreneurial, small company environment.
- Uphold firm’s purpose, vision and values.
- Years of experience 0-1 year. Expected time in role 2-3 years.
Financial Advisor
The Financial Advisor is responsible for either, or a combination of; ongoing management of existing client relationships and the retention of clients or developing, closing and onboarding new clients. Financial Advisors independently provide proactive planning and client facing advice through outstanding client service. Financial Advisors develop business from new and existing clients, participating in marketing team and firm goals . Manages and leads advisor team, including mentoring and training less senior advisors and support staff.
Duties & Responsibilities
- Provide objective, unbiased financial advice to a diverse mix of clients by analyzing investment opportunities and client needs.
- Client relationship development and management, including ongoing and regular client contact and communications.
- Client meeting preparation: review all required paperwork prior to meetings.
- Client service, including planning updates, portfolio changes and reviews, returns and new opportunity identification.
- Client asset management, including coordination of complete financial planning and wealth management (analysis, estate planning, tax strategies for assets under management and portfolio management).
- Maintains accurate notes and records regarding client matters in the CRM.
- Keeps client team members adequately informed on all active and pending client matters.
- Cross-sell firm services and deepen existing client relationships.
- Train other team members on client service levels and expectations.
Qualifications
- Bachelor’s degree preferably in business, accounting, finance, economics or related experience.
- 5+ years of experience in investment management and/or financial advisory services with demonstrated ability to develop and manage plans and manage client relationships.
- CFP designation (or progression toward)
- CKA designation (or progression toward)
- Proficiency in Microsoft Office; experience with various financial planning, CRM, portfolio management and document management software.
Other Skills & Experience
- Has a deep understanding of RIA channel and independent financial advice delivery channel.
- Financial planning/wealth management acumen, judgment and experience.
- Continuously exhibits personal integrity and professional initiative.
- Reliable, follows through on commitments, does not shrink from new challenges.
- Possesses a passion to help new and existing clients.
- Must be organized, detail-oriented and able to manage and prioritize tasks.
- Demonstrates a commitment to accuracy by delivering high quality work.
- Excellent written and verbal communication.
- Collaborative and able to work effectively with others.
- Flexible team player who is highly adaptable to change and open to new ideas.
- Demonstrated ability to work successfully in an entrepreneurial, small company environment.
- Uphold firm’s purpose, vision and values.