Associate Wealth Advisor jobs in the United States

Our client is a successful financial advisory firm based in Pasadena, CA is seeking the right person to join their team as an Associate Wealth Advisor. The Associate Wealth Advisor is responsible for managing relationships with HNW clients and proactively supporting the firm founder. This is a hybrid role and you will be an integral part of the financial advisory practice.     

Duties & Responsibilities 

• Act as the primary point of contact for all client interactions (including scheduling), working with team members to ensure a timely response to all client questions and concerns. 

• Establish and maintain positive relationships with existing firm clients to ensure client satisfaction. 

• Provide thoughts and feedback relative to operational procedures for servicing clients including making recommendations for increased efficiency within the current process. 

Client Development 

• Actively participate in all assigned Wealth Advisor client meetings. 

• Demonstrate the ability to escalate potential client issues to the Wealth Advisor as appropriate.   

• Under the direct oversight of the Wealth Advisor, actively engage in Client Case Prep meetings, providing recommendations and feedback relative to the client’s financial plan as appropriate. 

• Responsible for reviewing statements, forecasting review data, developing a meeting agenda format, creating presentations, case documentation and deliverables for all assigned clients. 

• Preparing and processing custodial paperwork including insurance applications. 

• Manage developing and maintaining suitability documentation utilizing client file standards. 

• Ensure compliance notation is adhered to; demonstrate suitable and appropriate recommendations to ensure quality standards, including full and fair disclosure. Initiate, process and follow-up on new business. 

• Actively document all notes and action items during client meetings and ensure all commitments made by the Wealth Advisor are being completed in a timely manner. 

• Review task assignments for each client and work directly with team members to ensure all follow-up and action items are documented in Redtail CRM and completed within the specified time frame. 

Qualifications    

• Bachelor’s degree preferably in business, accounting, finance, economics or related experience.    

• Experience in financial advisory services and/or investment management  

• Experience managing HNW client relationships    

• CFP designation a plus or interest in obtaining    

• Fidelity custodian platform experience a plus    

• Proficiency in Microsoft Office; experience with various financial planning, Redtail CRM, portfolio management and document management software.   

  Compensation   

Salary: $80,000 - $95,000    

Benefits    

Annual bonus eligibility   

Vacation, PTO   

401k