Associate Advisor Job Opening

Wednesday, October 31, 2018 2:31 PM | Anonymous member (Administrator)

Associate Advisor

Overview: The associate advisor position is a support role to the senior advisors. Relative to the senior advisors, who are primarily focused on developing new business, the associate advisor is primarily responsible for the retention of existing client relationships but also may be expected to handle new business independently.  In addition to helping with client meetings, the associate advisor will also create financial plans for the firm’s clients by conducting client research, preparing for client meetings, and providing ongoing service/maintenance to clients. The associate advisor will serve as an in-house expert on financial-planning-related client issues.  The position requires an individual who has a thorough knowledge of the financial services business and who is committed to being part of a team that delivers a comprehensive client solution. This individual must have strong relationship management skills. They must be reliable, organized and deadline- driven. A qualified applicant must be dedicated, goal-oriented, and able to work well in a self-directed and collaborative environment.


  • ·         Knowledge of key financial, investment and risk management concepts
  • ·         Can create financial plans using Money Guide Pro financial planning software.
  • ·         Able to lead review meetings with existing clients
  • ·         Can assure people and put them at ease
  • ·         Comfortable with presentations and telephone conversations
  • ·         Excellent listener
  • ·         Possesses a passion to help team and clients
  • ·         Possesses strong analytical skills
  • ·         Reliable and follows through on commitments
  • ·         Systematic approach to tasks
  • ·         Ability to see big picture and handle details
  • ·         Excellent computer skills (Word, Excel, PowerPoint, Internet); ability to learn in-house programs and tools
  • ·         Skilled in basic statistics and quantitative products portfolio theory
  • ·         Able to prioritize; deadline and detail sensitive
  • ·         Takes direction and executes a plan
  • ·         Dedicated to developing a career within the financial services industry

Functional Responsibilities

Relationship Management

  • ·         Accountable for the ongoing retention of a defined group of existing clients
  • ·         Can identify and deliver to changing advice needs
  • ·         Performs ongoing fact-finding to uncover organic growth opportunities, multi-generational opportunities, cross-selling and important personal information
  • ·         Delivers excellent service supporting the generation of referrals from existing clients
  • ·         Prepares financial plan and other client meeting necessities

Investment research

  • ·         Conducts research on topics that may include the economy, financial markets, individual securities, mutual funds, annuities, third-party money managers and alternative investments
  • ·         Portfolio analysis and monitoring
  • ·         Compiles and analyzes client data to develop financial plans
  • ·         Simulation modeling using Monte Carlo and other statistical techniques
  • ·         Passive/active management analysis
  • ·         Asset allocation strategies including alternatives
  • ·         Tax gain/loss analysis


  • ·         Develops an ability to articulate the story of the practice and identify ideal qualified prospects
  • ·         Assembles customized proposals for clients and prospective clients
  • ·         Assists in building, tracking, and maintaining prospect pipeline and prospecting plan
  • ·         Performs client fact finding

Liaise with Other Team Members

  • ·         Works with client services associate or portfolio administrator on client documentation, client meeting preparation, and processes
  • ·         Participates in regular team meetings
  • ·         Participates in annual business planning strategy session as requested

Data input

  • ·         Creates data for creating financial plans
  • ·         Enters client data into Wealthbox
  • ·         Directs and monitors workflow required to service clients
  • ·         Documents processes for all client analysis, financial planning and research activities in the absence of an operations manager
  • ·         Generates requested reports
  • ·         Develops and maintains standardized proposals, presentations and resource library

Client interaction

  • ·         Meets, greets, and provides concierge service for visiting clients or prospects as needed
  • ·         Prepares for and leads ongoing client review meetings and supports the delivery of ongoing service to existing clients
  • ·         Responds to advice-related client calls
  • ·         Makes outgoing client courtesy calls
  • ·         Queries clients for updated information pending annual and semiannual reviews
  • ·         Intakes applications and forms as needed
  • ·         Coordinates portfolio reviews
  • ·         Participates in client meetings with lead advisor to develop client acquisition skills and to support the conversion of prospects to clients


  • ·         Assists in development, coordination, and maximization of vendor and external resource providers
  • ·         Supports special projects as assigned
  • ·         Assists members of the team when needed
  • ·         Maintains strong compliance documentation related to research and trading
  • ·         Fully utilizes all technological systems

Educational and Experience Requirements and Preferences

  • ·         CFP a must
  • ·         Background and experience in the financial services industry
  • ·         Two to three years of advice and relationship management experience
  • ·         Licenses and credentials: Series 65
  • ·         Knowledge of Money Guide Pro and other industry specific software
  • ·         An undergraduate degree


  • ·         Base salary: commensurate with experience
  • ·         Potential for quarterly bonus
  • ·         Salary increases are performance based

Two weeks of vacation

Six sick days

3% company match to retirement plan

Send resume to

FPA of Greater Phoenix
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