Lead Advisor · 8 hours ago
Associate Financial Advisor
Purchase, NY
Full-time
Hybrid
Entry, Mid Level
$100K/yr - $115K/yr
2+ years expLead Advisor is a company that fosters a collaborative, client-first culture. The Associate Financial Advisor will work closely with the lead advisor to prepare comprehensive financial plans and analyses, ensuring an unmatched client experience while supporting the team in various administrative tasks.
ConsultingHuman ResourcesWealth Management
Hiring Manager
Kyla Azzato
Responsibilities
Develop and maintain strong relationships with clients, fostering trust and loyalty through excellent service
Facilitate communication between clients and Lead Advisor ensuring timely follow up on action items and requests
Draft and edit correspondence , reports, and presentations, ensuring clarity and professionalism in all communications
Proposal & Case preparation for client meetings summarizing financial plans and strategies
Gather client data, manage workflows, modify the planning proposals, and handle case notes
Participate in client meetings and presentations as required
Implement and improve administrative processes and protocols to enhance overall office productivity
Assist in client retention efforts by proactively reaching out to clients and addressing their needs
Coordinate and prep materials for client presentations, meetings, seminars
Prep Strategy Agendas for all client meetings and assure Lead Advisor has all the data necessary prior
Develop effective communication with team members, clients, strategic professionals and industry contacts
Update & trade client portfolios based on quarterly model updates in addition to ad-hoc portfolio rebalancing and new account trading
Oversee the updating and accuracy of client information in E-Money
Adhere & understand all compliance policies, regulations and procedures including monthly checklists and meeting trackers
Attend & Support Client review meetings as directed
Maintain organized and up-to-date client files and records accurate and detailed records in Redtail notes ensuring confidentiality and compliance with regulatory standards
Assist in Annual Review process in Smart RIA
Assist other team members with administrative tasks including calendar management, client onboarding documents and insurance related documentation
Participate in ongoing training and professional development opportunities to enhance skills and knowledge
Qualification
Required
Minimum of 2-4 years of experience in financial planning or wealth management
Bachelors Degree required
E-Money Experience required
Active Series 65 License desired
Insurance License or ability to attain within a reasonable period of time
Preferred
Registered Paraplanner, QPFP or CFP certification a plus
Company
Lead Advisor
Lead Advisor offers wealth management services, guidance, private research, and a job board for top talent.
2-10 employees
Funding
Current Stage
Early StageLeadership Team
Michael Connaughton
Co-Founder
Company data provided by crunchbase