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First Tech Federal Credit Union · 4 days ago

Sr. Associate Financial Advisor

Santa Rosa, CA

Full-time

Onsite

Mid, Senior Level

$80K/yr - $150K/yr

3+ years exp

First Tech Federal Credit Union is seeking a Senior Associate Financial Advisor who will support and grow an existing book of business under the guidance of an established Financial Advisor. This role involves client relationship management, financial planning, and operational support, in addition to collaborating on business development strategies.

BankingFinance

No H1B

Responsibilities

Collaborate with the Senior Advisor to implement business development, client service, and operational strategies

Track progress on key initiatives and ensure alignment with long-term practice goals

Oversee daily office operations, including workflow coordination, resource allocation, and vendor relationships

Take an active role in portfolio research and asset allocation design

Conduct financial planning reviews and update financial plans as needed

Provide investment advice and recommendations based on clients' risk tolerance and objectives

Assist the senior advisor in managing all client relationships

Manage assigned households and provide ongoing service and planning updates

Develop deep relationships with clients and their families to understand their financial goals and needs

Collaborate with the assistant to ensure smooth operations and client satisfaction

Maintain and document client activity in CRM system

Ensure compliance with regulatory requirements and internal policies

Design and manage client 'touchpoints' strategy to deliver timely information and resources to clients throughout the year

Attend and facilitate Experience Center ('XC') partner meetings to build XC engagement as needed, cultivating COIs

Build relationships with prospects and convert them to clients, providing ongoing service through the lifetime of the client relationship

Qualification

Client-facing experienceFinancial planningFINRA licensesCRM knowledgeMicrosoft OfficeRelationship managementDiscretionJudgmentProject coordinationFinancial conceptsInterpersonal skills

Required

Minimum 3 years' client-facing experience in the investment or wealth management field, including experience in a consultative service role

Ability to coordinate a variety of activities and projects simultaneously and prioritize daily work, such as tracking and closing new business; scheduling appointments; proactive calls for prospecting, marketing, servicing/sales, etc

Demonstrated ability to use discretion and judgment when working with clients, professionally handling sensitive information with discretion

Ability to assess individual client needs and foster strong relationships

Exceptional interpersonal skills to engage with internal and external business partners

Possess an in-depth understanding of the financial industry, financial concepts and the mathematics behind them, high-level product knowledge, competitive intel and client-service strategies

Working knowledge of Microsoft Office, and the ability to learn Raymond James-specific applications (Advisor Access, Client Center, etc.)

Certification/License: Series 7, 63 & 65 or 66 FINRA licenses required, Life & Disability Insurance License

Minimum Education: High School Diploma

Preferred

Exposure to a CRM such as Salesforce is preferred

Bachelor's degree is preferred or equivalent work experience

Certified Financial Planner certification preferred

Benefits

Traditional medical, dental, and vision coverage

401K matching up to 5% per pay period

Paid Time Off: You’ll accrue up to 15 vacation days in your first year. In addition, you’ll receive 40 hours of sick time and 3 personal days, which refresh annually

11 paid federal holidays

Special employee pricing on lending products such as mortgage, auto, and personal loans (eligibility for special employee pricing is subject to standard account requirements and underwriting criteria)