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.

This is a full-time, in-person position, and the selected candidate is expected to be on-site in the office in Wappinger Falls five days per week.

Essential Duties and Responsibilities

• Supports Lead Advisor, including managing client needs regarding service, asset allocation, case design and financial planning
• Responsible for client meeting preparation and follow-up, including assembling requisite paperwork, account reviews, report generation, and meeting documentation/notes
• Consult with lead advisor on investment strategies based on individual financial and investment objectives; deliver advice and participate in client reviews
• Manage data and plans in financial planning software
• Learn the technical aspects of the advisor position and prepare to service clients independently
• Identify sales and asset retention opportunities, including viable alternatives when traditional solutions may not apply
• Deepen client relationships and establish credibility and rapport both in person and via phone/video meetings
• Clearly articulate complex concepts to clients
• Proactively communicate with clients and follow up on all contacts assigned
• Manage and prioritize multiple competing priorities daily in pursuit of business objectives
• Active engagement in marketing and sales efforts on behalf of the firm; not required to build own book of business
• Commitment to culture requires a demonstration of professionalism, accountability, client focus, and teamwork
• Other duties as assigned

Supervisory Responsibilities: None

Knowledge, Skills, and/or Abilities

• Strong understanding of financial services industry and diverse investment products
• Basic computer skills (Outlook, Word, Excel, and PowerPoint) are essential
• Excellent communication skills, both verbally and in writing
• Strong time management and organizational skills; able to work independently and effectively manage multiple tasks at once
• Ability to build relationships with clients and internal partners, and product wholesalers
• Experience with the following software is preferred
• Redtail client CRM
• MoneyGuide Pro/Elite
• eMoney
• Morningstar Advisor Workstation

Education and/or Experience

• Bachelor’s degree in finance, accounting, or related field
• The ideal candidate will have 3+ years of experience in the financial services industry, allowing for a strong understanding of broker/dealer operations and financial services products, including but not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts
• Previous experience in the independent financial services culture preferred

Certificates, Licenses, Registration

• Series 7 and 63 required
• Series 65/66 preferred: (or ability to obtain)