Associate Financial Advisor

About the Role

The Financial Advisor Associate (FAA) supports a Financial Advisor in delivering comprehensive wealth management solutions to high-net-worth and international clients. This role is designed for early-career professionals interested in developing a career in Private Banking and Wealth Advisory.

Key Responsibilities

• Client Relationship Support

• Support the Financial Advisor in delivering financial planning and investment solutions tailored to client needs.

• Assist in maintaining strong client relationships through responsive service, professionalism, and timely follow-up on requests.

• Participate in client meetings, portfolio reviews, and follow-up discussions by preparing materials and gathering relevant client information.

• Help ensure a consistent and high-quality client experience by coordinating service requests and tracking open items.

• Client Onboarding & Account Management

• Assist with client onboarding, including account opening, documentation collection, and account maintenance processes.

• Support onboarding and administration of domestic and international client accounts within internal systems.

• Maintain accurate client records and ensure documentation meets internal policies and regulatory standards.

• Coordinate with operations and compliance teams to resolve account issues or documentation requirements.

• Advisory & Investment Support

• Assist the Financial Advisor with portfolio review preparation, investment proposals, and financial planning materials.

• Develop working knowledge of investment products available to clients.

• Support the preparation of client communications, reports, and follow-up documentation.

• Business Development Support

• Assist with prospect research and preparation for new client meetings.

• Help maintain internal tracking of prospective client opportunities and business development activities.

• Support preparation of presentation materials and documentation for prospective clients.

• Team Coordination & Coverage

• Coordinate with internal partners including investment specialists, and operations staff to support client solutions.

• Provide support coverage during advisor travel or absence by helping manage client requests and communications.

• Assist in managing daily administrative and operational tasks necessary for efficient team operations.

• Risk, Compliance & Documentation

• Ensure all activities comply with regulatory requirements, internal policies, and risk management standards.

• Maintain accurate records of client interactions, advisor activities, and required reporting logs.

• Escalate operational, compliance, or service concerns promptly to the Financial Advisor or appropriate internal teams.

• Support adherence to confidentiality, information security, and regulatory requirements.

• Professional Development

• Participate in training and development programs designed to build expertise in Private Banking and Wealth Management.

• Develop foundational knowledge of financial planning and investment strategies.

• Demonstrate a proactive approach to learning and career development within the advisory business.

Qualifications

• Education

• Bachelor’s degree in Finance, Business Administration, Economics, or a related field.

• Experience

• 0–1 year of experience in Private Banking, Wealth Management, Financial Services, or a related industry.

• Licenses & Certifications

• Series 65 or its equivalent (e.g., CFA) - Required

• Life Insurance Agent License or willing to obtain it

• Technical Skills

• Familiarity with financial services platforms and CRM systems preferred.

• Experience with NetX360 or similar custodial platforms, particularly for international accounts, is a plus.

• Proficiency in Microsoft Office Suite (Excel, PowerPoint, Word).

• Skills & Competencies

• Strong organizational and time-management skills with attention to detail.

• Excellent verbal and written communication skills in English and Spanish.

• Client-service oriented mindset with a high level of professionalism.

• Ability to work collaboratively within a team environment.

• Strong analytical and problem-solving skills.

• Ability to manage multiple priorities in a fast-paced environment.