Do you have great listening skills and a knack for developing effective, analytics-based strategies? We are seeking a money-minded individual who is looking for an opportunity to break into the financial services industry! Our successful entry-level financial planning associate has a passion for developing long-term relationships and an interest in financial data, estate planning, business administration, mutual funds, and more. If you have great communication skills and an eye for detail, apply today!

$75,000 - $85,000 yearly

• Work directly with clients to compile financial profiles that allow you to provide sound financial advice based on each person’s individual financial status, income, financial goals, and other factors contributing to wealth management
• Make strategic product, plan, and investment recommendations and financial advice to help clients reach their monetary goals
• Be a coachable, organized team member interested in pursuing training development and educational opportunities
• Create customized financial plans for each client based on his or her life stage, professional circumstances, and fluctuating financial needs
• Look for, identify, and secure new clients to serve as a trusted advisor for crucial financial decisions

Trading

• Trade on new accounts and set them to the investment model Advisor has chosen. Trade models of Advisor’s choice. Execute trades as directed by Financial Advisor
• Liquidate assets proportionately according to the investment model to free up cash for redemptions, fees, or systematic withdrawal requests
• Provide ongoing investment monitoring, due diligence/evaluation, and portfolio rebalancing at agreed-upon timeframes, using Advisor’s criteria to ensure accounts are invested according to an investment model

Investment Research & Strategy

• Provide investment research and recommendations to Advisor
• Measure model performance, provide index and investment performance and other customized client deliverable reports as requested by Advisor
• Assist Advisor with the creation of new investment models and help to move accounts into those models
• Work with Advisor to create a strategy to handle tax-sensitive accounts
• Assist Advisor with the creation of an initial recommendation/strategy for assets as needed
• Provide recommendations for special asset strategies as needed

Client Service & Administrative Support

• Undertake Client Account Review Processes/Prospect-to-New-Client Onboarding Processes.
• Prequalification/Fact-Finding Call to Prospects/Clients
• Provide Advisor with preparatory statements and documents (1. [Existing Clients Only] Summary of Client Life Updates/ [Prospects] Prequalification Notes 2. [Existing Clients Only] New Money 3. Specific Financial Concerns 4. Brokerage Statements 5. Life Insurance & Annuity Statements 6. Company Plan Statements 7. Recent Tax Returns)
• Develop customized client deliverable reports as requested by Advisor (1. Riskalyze/Risk Score 2. Client Financial Profile/Questionnaire [Update Existing Clients] 3. Budget Sheet 4. Tax Clarity 5. Social Security 6. Roth Conversion Eligibility)
• Ensure Compliance Mandatories are discussed and document notes [Existing Clients] and summarized: 1) Investment Objectives 2) Risk Tolerance 3) Portfolio Alignment with Objectives 4) Fee Review 5) Accounts Review 6) Portfolio Holdings Due Diligence 7) Beneficiaries Update 8) RMD/Distributions Review 9) Tax Implications 10) Investment Models
• Accomplish Qualified Money Rollover Form, if applicable
• Collect [Update Existing Clients] copies of Documents – SS, Driver’s License, Voided Check
• Provide Client/Prospect/New Client with Email Recap and/or Investment Policy Statement (IPS)/Financial Planning Report from Orion, if applicable

Compliance

• Ensure completion of and adherence to compliance checklist (Trade Authorization Forms, Trade Order/Error/Blotter, Personal Securities, OBAs, Section 13 Security Reporting, Advertising Log, Due diligence for stocks, bonds, options contracts, ETFs, and other securities products recommended with copies of materials used for the basis of these buy, sell or hold recommendations)

Marketing & Client Communications

• Generate client-ready, customizable Advisor reports on broad market topics for use with clients or for marketing, as Advisor sees fit
• Generate periodic commentary 9on market action and/or timely topics
• Assist Advisor in managing email marketing in FMG Suite

Learning & Growth

• Undergo quarterly training relevant to the role (Continuing Education, training on FinTech, advisor platforms)

• A Bachelor’s degree in finance, business administration, or alternate related analytical field is required
• Superior communication, relationship building, and math skills to establish a strong foundation of customer service for all clients
• Computer proficiency in Microsoft Office, CRM systems, financial planning software, Google Suite, and other tools strongly preferred
• Working knowledge of financial products, the financial industry, personal financial advisor or responsibilities, or financial planner roles is essential
• Though not required, a valid FINRA Series 7 & 63/66 license is considered a plus

• Insurance licensing is strongly preferred and Series 65 (required)
• Minimum 2 years experience in financial services
• Strong organizational, prioritization skills and attention to detail
• Excellent verbal and written communication skills
• Resourceful in problem resolution
• Ability to build trust with clients
• Computer, Microsoft Office Suite proficiency, and familiarity with CRM software Wealthscape, Orion, and Riskalyze a plus

We are a registered investment adviser (RIA) based in Roswell, GA, and serving clients nationwide. We have a deep-seated belief that all Americans should be able to work with an independent financial advisor of high integrity and objectivity. Many steps are required to earn trust. Our clients depend upon us for sound advice. In turn, our credibility and success depend upon our clients' trust.