Associate Advisor

CFP Board of Standards Inc.; Pennsylvania; On-site; USD 65,000 - 90,000; Full time

Job summary

CFP Board of Standards Inc. in Pennsylvania seeks an Associate Advisor to connect clients, the support team, and advisors. This role provides technical financial planning and investment management work under supervision, collaborating with Lead and Senior Advisors to serve a growing client base.

You will help onboard clients, update CRM and planning software data, and support compliance and team processes in a fast-paced environment. Strong communication and teamwork are essential.

Qualifications

• Bachelor’s degree with CFP® pursuit.
• Ideally 1+ years advisory experience in financial services.
• FPQP designation preferred.
• AIF designation preferred.
• Series 7, 66 and insurance licenses required.
• Leadership experience a plus.
• Experience with Securities, Financial Planning, Investments and Insurance required.
• Experience with Custodian Platforms (Fidelity, Axos, AssetMark, SEI, etc.)

Responsibilities

• Communicates client needs to determine goals and financial planning objectives.
• Ensures professional and prompt client engagement.
• Provides guidance on technical financial planning and investment needs.
• Analyzes information to determine best client solutions and documents decisions.
• Maintains client data in CRM and planning software accurately.
• Supports compliance and coordinates with back office and advisors.

Skills

Excellent communication

Excellent teamwork

Microsoft 365 Office Suite

Redtail CRM

Broker Dealer Regulations

Time management

Confidentiality

Education

Bachelor’s degree with CFP®

FPQP designation

AIF designation

Series 7 and 66 licenses and insurance licenses

Tools

Microsoft 365 Office Suite

Redtail CRM

Job description

Associate Advisor

MISSION

The Associate Advisor at Summit View Wealth Management is an integral part of our team serving as the true connection between our clients, support team, and advisors. This great communicator, influencer and enthusiastic person will support the vision, positive culture and team spirit.
The Associate Advisor provides technical financial planning and investment management work, either under the management of higher-level professionals or on their own. They usually work with other professional planners in the firm and are under the supervision of a Lead Advisor
and/or Senior Advisor. An Associate Advisor works with the Lead and Senior Advisors and has limited decision-making abilities on client plans, investment processes and procedures, operational processes and procedures and client affairs.
They have obtained the proper licensing and experience to work directly with clients. They primarily perform supervisory functions to a limited group of clients, coordinate with the back office, support functions to higher level professional advisors relating to ensuring client satisfaction is at the highest level. The primary responsibility is managing a group of client relationships and other employees under their supervision to carry out the best client service.

ESSENTIAL RESPONSIBILITIES

Client and Advisory Engagement

• Communicates with clients to determine their needs, objectives, goals, concerns and financial planning objectives; communicating and representing client with those outside the organization, and other external sources to carry out the goals of client service.
• Ensures phones are answered and guests are greeted promptly and professionally.
• Provides guidance and expert advice to management, client or other groups outside the organization on technical financial planning and investment planning needs, systems, or process-related topics.
• Analyzes information and evaluates results to choose the best solution to solve client or operational problems and being accountable and held responsible for those decisions.
• Ensures the compiling, coding, categorizing, calculating, tabulating, auditing, reconciling, downloading and verifying of client data in the organizations’ client-related software programs, including CRM’s, Financial Planning Software, Investment Management software, and other related or connected programs is completed according to procedure.
• Observes, receives, and otherwise obtains information from all relevant sources to make sure client accounts are up to date. Translates or explains what information means and how it can be used by other professionals.
• Identifies concerns, problems or opportunities within client accounts or households and notifies, updating or correcting the client information prior to it becoming a problem for the more professional advisors or the relationship with the client.
• Identifies information by categorizing, estimating, recognizing differences or similarities, and detecting changes in circumstances or events, in the relationship and the data of the clients.
• Uses relevant information and individual judgment to determine whether events or processes comply with laws, regulations, or standards.
• Analyzes client information and evaluates results to choose the best solution and solve problems.
• Utilizes the ability to add, subtract, multiply, or divide numbers quickly and correctly. The in-depth understanding of time value of money: present value, future value, annuity payments, internal rate of return and compounding interest.
• Engage and prepare client onboarding requirements with financial planning software
• Update CRM with client data and work through client process

Compliance

• Supports Compliance to maintain an effective and robust investment advisory compliance program
• Performs other compliance-related tasks and projects as assigned

POSITION SPECIFICATIONS

Experience and Education:

• A bachelor’s degree with pursuit of CFP®
• Ideally 1+ years of experience in a direct advisory capacity in financial services
• FPQP designation preferred
• AIF designation preferred
• Series 7, 66 and insurance licenses required
• Leadership experience a plus
• Experience with Securities, Financial Planning, Investments and Insurance required
• Experience working with various Custodian Platforms (Fidelity, Axos, AssetMark, SEI, etc.)

Skills and Knowledge

Excellent communication skills (verbal, written and listening)

• Excellent teamwork skills and experience a must
• Proficient in Microsoft 365 Office Suite required; advanced skills preferred
• Proficiency in Redtail CRM preferred
• Knowledge of Broker Dealer and Investment Advisory Regulations a plus
• Demontrates personal integrity, honesty and is able to deal with confidential information on a daily basis
• Must be flexible with the ability to deal with stress in an ever-changing investment market and financial services
• Excellent time management and strong organizational skills, and ability to prioritize multiple tasks and anticipate potential problems