Financial Advisor

Job description

This is an excellent opportunity for a new(er) financial advisor since a quota and/or established book of business is not required. Huge potential for growth in a well-established office in beautiful Santa Cruz County.

DIRECT HIRE ONLY SANTA CRUZ and MONTEREY COUNTY APPLICANTS WILL BE CONSIDERED

Our client is an upscale and comprehensive financial planning and wealth management investment firm committed to coordinating and integrating client's lives by helping them improve their long-term financial independence. They are seeking an experienced, full-time, Securities Licensed Wealth Management Associate to participate in all phases of the investment and financial planning for small businesses, 403b, 401k plans, and individuals.

The Wealth Management Associate will work closely with the senior advisor (three advisors) in the office and will work with select clients and assist with the growth of the business. This candidate will have exceptional client service skills and a high degree of professionalism. The role provides the opportunity to grow into a senior advisor position and advance into a leadership role within the firm. Candidate must be able to work effectively with other staff members, clients, and the advisors. This position requires a strong attention to detail, excellent organization and follow-thru, reliability, and the willingness to work hard to achieve long-term growth. After probationary period they provide a team environment with competitive compensation, pay, and benefits.

Requirements:

• Active Series 6 or 7/ 63/ 65
• College degree
• 1-2 years of work experience in the financial services industry
• Strong computer skills and experience with Microsoft Office and CRM system
• Knowledge of traditional investment vehicles (stocks, bonds, mutual funds), Insurance, financial + estate planning

Responsibilities Include:

• Utilize knowledge, experience, and expertise obtained through CFP qualification process to lead a comprehensive discovery analysis that identifies differentiating information and variables to be used in the financial planning process AND/OR Organize, review, and prepare data for analysis and able to make rules-based and analytical decisions, research information and explain complex information clearly and simply
• Coordinates resolution of complex issues and concerns received from the client
• Research complex situations, set client expectations and define the actions necessary to resolve inquiries in a timely manner
• Build, manage, maintain and educate new and existing client relationships; Assist the Senior Financial Advisor with existing clients
• Perform client assessments and gather necessary client data and use planning software tools to prepare various financial planning reports
• Prepare investment reports and analysis for portfolio review meetings
• Help drive asset growth and net new household assets
• Exercising the core skills required to form meaningful relationships
• Drive client experience to high levels of satisfaction by adhering to our values
• Manage an existing book of business as well as develop new leads
• Maintain communication with current clients through on-going mailings, email and phone calls
• Support Employer-Sponsored Retirement Plans by assisting plan sponsors and participants with financial planning, investment advice, and documentation
• Ability to understand and interpret Employer Retirement Plan Documents for retirement plan client administration

Experience and Skills:

• Self-motivated with the ability to work well independently and under direction
• Possesses a solid work ethic, excellent communication skills, strong character, integrity, values and has a strong moral compass
• Engage and support clients through the data collection process with excellent listening skills
• Outstanding interpersonal skills with the ability to build, foster client relationships
• Establish and cultivate relationships with new clients and proactively help to resolve any issues and concerns
• Thrives in a fast-paced environment and able to handle multiple projects and deadlines while managing their time efficiently
• Ability to take initiative, energetic, eager to learn and willing to cooperate
• Independently improves and streamlines the service model and operational processes for the team
• Assigns work to CSA as appropriate
• Collaborates with senior advisor in developing overall business plans and marketing strategies by independently targeting prospective clients

Job Type: Full-time

Pay: $30.00 - $35.00 per hour

Expected hours: 40 per week

Benefits:

• 401(k) matching
• Dental insurance
• Health insurance
• Paid time off

Education:

• Bachelor's (Required)

License/Certification:

• Active Series 6 or 7/63/65 (Required)

Ability to Commute:

• Aptos, CA 95003 (Required)

Work Location: In person in Aptos, CA