Associate Advisor Job Description

Associate Advisor Job Description

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Associate advisor provides administrative and logistical support for all aspects of the undergraduate program including courses offered through Online Education, ensuring effective operations and compliance with university, college, and departmental policies and procedures.

Associate Advisor Duties & Responsibilities

To write an effective associate advisor job description, begin by listing detailed duties, responsibilities and expectations. We have included associate advisor job description templates that you can modify and use.

Sample responsibilities for this position include:

Attend continuing education courses on trust administration
Financial Advisor Role
This advisor will have access to a team with extensive advisory, leadership and management success
Propose and implement investment programs as directed by Client Advisors and Senior Client Advisors
Monitor and assist in covering overdrafts
Complete financial paperwork from other institutions for clients
Interface with clients when questions arise about investment strategy or capital markets outlook
Propose and implement investment programs as directed by Client Advisors and Senior Client Advisors using the firm's applications
Build implication models taking into account spending, taxation, and potential market behavior among other factors
Proactively monitor and take action to correct fixed income maturities and client overdrafts based on knowledge and history of the client account

Associate Advisor Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Associate Advisor

List any licenses or certifications required by the position: CFP, LEED

Education for Associate Advisor

Typically a job would require a certain level of education.

Employers hiring for the associate advisor job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in Business, Finance, Education, Communication, Health Insurance, Accounting, Social Work, Public Health, Management, Psychology

Skills for Associate Advisor

Desired skills for associate advisor include:

Departmental operations/policies and U.S. Bank products and services
Policies and procedures regarding client accounts
Demonstrated through experience
Education
Peripherals
& navigating through software
Firm’s operations
On-line/Internet services
Trouble ticketing process in relation to Seller Support
Excel

Desired experience for associate advisor includes:

Demonstrated desire to progress to a sales roles
Strong work ethic and strong drive to succeed
Proven interest in financial markets preferred
Basic knowledge of trust administration and fiduciary services
Some securities experience preferred
Ability to market to local clients

Associate Advisor Examples

1

Associate Advisor Job Description

Job Description Example
Our company is looking to fill the role of associate advisor. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for associate advisor
  • Proactive client account reviews and sales calls, , reactive client service and trade execution
  • What do you need to succeed?
  • Manage the team’s marketing material and organize marketing activities
  • Manage the team’s website and the Investment Advisor’s LinkedIn profile
  • Develop connections and relationships that lead to bringing new clients to the firm
  • Develop affiliations with the community and appropriate community groups
  • Actively participate in community networking events to build prospect base and increase database of Centers of Influence
  • Prospect follow-up
  • Assists in servicing the clients of the practice
  • Handles all security transactions for the practice as directed
Qualifications for associate advisor
  • Strong interpersonal skills with effective communications and persuasive ability
  • WME - Wealth Management Essentials
  • Familiarity with portfolio management, including tactical asset allocation, traditional and nontraditional asset classes, and various investing styles is a minimum requirement
  • Develop investment plans and written proposals for prospects and clients
  • Deploy assets into suitable financial products based on the client’s risk/reward tolerances and demographic profile
  • Proactively service clients and address investment related questions
2

Associate Advisor Job Description

Job Description Example
Our growing company is searching for experienced candidates for the position of associate advisor. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for associate advisor
  • Reviews policies and procedures related to processing transactions
  • Responds to ad hoc requests, prepares client correspondence, completes forms, generates reports, processes confidential documents, and coordinates with Home Office on related issues
  • Assists with the coordination, preparation, and follow-up for client meetings, including compliance requirements, deliverables, and reports
  • Prepares and ensures new business paperwork processes successfully which may include preparing reports, obtaining appropriate signatures, preparing documentation, tracking new applications, and providing follow-up as required
  • Complete administrative tasks such as reviewing reports, risk management, etc
  • You will support a senior IA who continues to grow his business
  • File correspondence and other documents in internal databases
  • Create documentation of client correspondence for tracking purposes
  • Attend and contribute to client meetings and presentations
  • Conduct client discovery, implementation and review meetings with skill and professionalism
Qualifications for associate advisor
  • Initiative and a desire to be in business for oneself
  • Top performing professional whose career demonstrates a proven track record of success
  • Must be personable and a problem solver
  • We are looking for an individual who is a dedicated team player
  • Excellent working knowledge of financial institution products and services, , life insurance, annuity and securities products
  • Proficient in operational procedures related to member accounts
3

Associate Advisor Job Description

Job Description Example
Our company is searching for experienced candidates for the position of associate advisor. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for associate advisor
  • Present recommendations to CPA’s prior to their client meetings
  • Proactively call clients to deepen business relationships and identify potential opportunities
  • Proactively call prospects to schedule appointments with the Financial Advisors
  • Research information for client and prospect meetings
  • Works in conjunction with the Regional Managers to complete request from financial advisors/independent branch offices
  • Ensures documents received from outside offices are in good order and can be processed by Home Office Operations
  • Reviews daily notifications from Compliance and Operations then delivers to the appropriate financial advisor for advisement
  • Identify private investor prospects, market the firm’s financial services and convert prospects to clients with assets under supervision
  • Partner with senior advisor to assess functions of the business in an effort to identify areas of opportunity to continuously elevate and grow the business, which includes gathering assets, creating a value proposition for marketing, introducing financial planning and portfolio management
  • Develop and service existing client relationships, monitor clients’ investment objectives on an ongoing basis, work to win additional available assets under supervision, communicate value of their William Blair relationship
Qualifications for associate advisor
  • General financial planning knowledge and working towards a financial planning designation
  • Interest or intent to pursue Para Planner designation
  • In-depth service skills with a strong commitment to service excellence
  • Analytical ability, persistence and an entrepreneurial perspective to build
  • Patience, empathy and tact, confidentiality, initiative, ability to work in stressful situations, friendly, outgoing and professional personality, ability to be flexible
  • Self-starter who's always looking for ways to help and grow
4

Associate Advisor Job Description

Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of associate advisor. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for associate advisor
  • Conduct independent research and analysis on equities, fixed income, mutual funds, and alternative assets
  • Conducts periodic reviews of portfolios and provide appropriate reports addressing client’s ongoing advisory needs
  • Participates in the business development process as needed with prospective clients to deepen relationships and conduct consultations during the enrollment process
  • Focuses on professional development by maintaining an in-depth understanding of financial planning, capital markets, and the financial services industry
  • Continuously identifies process improvement opportunities along with innovative business solutions
  • Participates in special projects and perform other duties as assigned
  • Ensure best service possible while always considering bottom line profitability
  • Remain aware of clients’ needs, both individually and by segment, and make suitable recommendations based on those current needs
  • Promotes established investment models and strategies that are suitable for our targeted clients
  • Accept and enter orders from the clients in the states where they are registered
Qualifications for associate advisor
  • Top performing individuals who demonstrate a proven track record of success through college achievements, employment tenure, consistent promotions or career advancement
  • Entrepreneurial drive and a desire to build your own business by leveraging personal network to generate new clients, build, leverage and maintain relationships, while providing superior client service, have resilience to recover from rejection, learn a complex business, and have the self-discipline to focus on activities that will drive results
  • Ability to provide information on goal accomplishments, promotions, recommendations and awards, and advanced certifications of a successful career
  • Pass background check and have a clean U4
  • Ability to obtain required securities and state licenses (Life Producer, Series 7&66) within 120 days of contract hire
  • Possess a high level of confidence, perseverance and a strong desire to strive and achieve in a successful commissioned sales environment
5

Associate Advisor Job Description

Job Description Example
Our company is growing rapidly and is hiring for an associate advisor. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for associate advisor
  • Cooperate and collaborate with colleagues to achieve shared team goals
  • Complete initial and ongoing firm and industry training requirements
  • Stay current with industry rules and regulations firm policies and procedures
  • Identify situations that need to be brought to the attention of the Financial Advisor or escalated to the Branch Manager, including suspicious client and/or employee activity
  • Other duties as assigned by the Senior Vice President/Investment
  • Serve as an expert in learning analytics and the Metrics that Matter software
  • Collects, validates, and analyzes financial data in support of developing comprehensive personal financial plans for high net worth clients
  • Inputs data into financial planning software and the development of initial planning recommendations
  • Review and process commission revenue from multiple business partners and ensure accuracy and completeness according to the agreement and dealer commission schedules
  • Research and resolve discrepancies between actual and expected cash receipts and revenue data from the assigned companies
Qualifications for associate advisor
  • This position does not offer relocation (Local candidates only)
  • The right individual will have strong leadership skills, be competitive, coachable, self-disciplined, assertive, take appropriate initiative in order to succeed and have experience in a fast paced work environment
  • Must be highly motivated, have great attention to detail, integrity, strong business acumen, organized, enjoy working with and helping people in order to service clients face to face
  • 1-2 years of similar work experience (preferred)
  • When we meet with you, we can share with you our resources and programs to meet your career goals that help your clients and business achieve more success
  • We would work with your client base and business plan and show you how to be more successful

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