Associate/Support Advisor

Kestra Financial Independent Advisor; Village of Wappingers Falls (NY); On-site; USD 70,000 - 90,000; Full time

Job summary

A leading financial services firm is seeking an Associate/Service Advisor to support the Lead Advisor in managing client relationships and account servicing. This role requires a strong understanding of the financial services industry, excellent communication skills, and the ability to manage multiple tasks effectively. The ideal candidate will have a Bachelor’s degree in finance and relevant experience in the financial services sector.

Qualifications

• 3+ years of experience in the financial services industry.
• Strong understanding of broker/dealer operations and financial products.

Responsibilities

• Supports Lead Advisor with client needs and financial planning.
• Manages data in financial planning software.
• Deepens client relationships and communicates proactively.

Skills

Communication

Time Management

Relationship Building

Education

Bachelor’s degree in finance

Tools

Redtail CRM

MoneyGuide Pro/Elite

eMoney

Morningstar Advisor Workstation

Job description

The Associate/Service Advisor reports to the Lead Advisor and serves as the primary contact for customer relationship management and account servicing. This position requires a strong understanding of the financial services industry and products, and is critical in handling the day-to-day client management on behalf of the Lead Advisor.

Essential Duties and Responsibilities

1. Supports Lead Advisor including managing client needs regarding service, asset allocation, case design, and financial planning.
2. Responsible for client meeting preparation and follow-up, including assembling requisite paperwork, account reviews, report generation, and meeting documentation/notes.
3. Consults with lead advisor on investment strategies based on individual financial and investment objectives; delivers advice and participates in client reviews.
4. Manages data and plans in financial planning software.
5. Learn the technical aspects of the advisor position and prepare to service clients independently.
6. Identifies sales and asset retention opportunities, including viable alternatives when traditional solutions may not apply.
7. Deepens client relationships and establishes credibility and rapport both in person and via phone/video meetings.
8. Clearly articulates complex concepts to clients.
9. Proactively communicates with clients and follows up on all contacts assigned.
10. Manages and prioritizes multiple and competing priorities daily in pursuit of business objectives.
11. Participates actively in marketing and sales efforts on behalf of the firm; does not require building own book of business.
12. Demonstrates professionalism, accountability, client focus, and teamwork as part of the company culture.
13. Performs other duties as assigned.

Supervisory Responsibilities: None

Knowledge, Skills, and/or Abilities

1. Strong understanding of the financial services industry and diverse investment products.
2. Basic computer skills (Outlook, Word, Excel, PowerPoint) are essential.
3. Excellent verbal and written communication skills.
4. Strong time management and organizational skills; able to work independently and manage multiple tasks effectively.
5. Ability to build relationships with clients, internal partners, and product wholesalers.
6. Experience with relevant software preferred, including:

• Redtail CRM
• MoneyGuide Pro/Elite
• eMoney
• Morningstar Advisor Workstation

Education and/or Experience

1. Bachelor’s degree in finance, accounting, or related field.
2. 3+ years of experience in the financial services industry, with strong understanding of broker/dealer operations and financial products such as equities, bonds, options, mutual funds, annuities, insurance, and managed accounts.
3. Previous experience in the independent financial services culture preferred.

Certificates, Licenses, Registration

1. Series 7 and 63 required.
2. Series 65/66 preferred or ability to obtain.