Associate Financial Advisor

Our client, a financial services company is seeking a qualified ASSOCIATE FINANCIAL ADVISOR. 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.


• Relationship Management

Accountable for the ongoing retention of a defined group of existing clients
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

•  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
Compiles and analyzes client data to develop financial plans
Simulation modeling using Monte Carlo and other statistical techniques
Asset allocation strategies including alternatives

•  Prospecting

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

• Data Input

Creates data for creating financial plans
Enters client data into Wealthbox
Directs and monitors workflow required to service clients
Develops and maintains standardized proposals, presentations and resource library

• Client interaction

Prepares for and leads ongoing client review meetings
Responds to advice-related client calls and makes outgoing client courtesy calls
Queries clients for updated information pending annual and semiannual reviews
Participates in client meetings with lead advisor to develop client acquisition skills and to support the conversion of prospects to clients

• Miscellaneous

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

Reports To

Senior Financial Advisors

Desired Profile

Certified Financial Planner designation required

Bachelor's degree or higher

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 Microsoft Office, Money Guide Pro and other industry specific software


Working remotely from Santa Fe and Albuquerque, NM


Full Time. Monday-Friday, 8-5

Type of Employment

Direct Hire


Base Salary, DOE

Potential for Quarterly bonus


Some benefits

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