Assistant to Financial Advisor

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Job description

Assistant to Financial Advisor and Regional Director

Offering unique opportunity to work for an established Regional Director of Cetera Advisor Networks, LLC, a top ten independent broker/dealer, in the Florham Park Office, NJ. The qualified individual will be able to provide administrative support ranging from preparing client reports, new proposals, marketing, and correspondence as well as helping to organize and arrange client meetings. This position will consistently follow high standards of business and professional ethics and legal and regulatory requirements when dealing with others and/or performing work activities. This role provides client relationship/administrative support, including direct interaction with clients, scheduling meetings, written and verbal client communications, working with clients to resolve issues, filing, scanning, copying and other practice management tasks, as needed.

Essential Duties & Responsibilities - Designed to meet the needs of the practice and include other duties as assigned by the Regional Director:

• Greeting/engaging with clients in conjunction with meetings and via telephone/E-mail
• Perform clerical duties which entail scheduling appointments, answering phones, providing information to clients, and composing and typing routine correspondence
• Preparing and coordinating marketing events, including compliance documentation
• Completing client meeting follow-up, including finalizing account/service applications, and corporate office communication on related issues as needed
• Assign, track, and complete client Financial Planning pre-work prior to annual review meetings
• Investigating and troubleshooting client service problems, involving corporate/home office personnel when appropriate
• Prepare and ensure new business forms are complete, appropriately signed, submitted to the corporate office, and tracked through completion
• Manage and maintain client files in electronic file system

Required Qualifications

Key Competencies:

To perform this role successfully, an individual will demonstrate the following competencies:

• Detail Oriented - Pays strong attention to detail and organization
• Quality- Demonstrates accuracy and thoroughness, looks for ways to improve and promote quality and efficiency
• Problem Solving Abilities - Identifies and resolves problems in a timely manner, gathers and analyzes information skillfully, asks for help when needed
• Interpersonal Skills - Effective communicator with clients and advisory team, listens and gets clarification, responds well to questions, maintains confidentiality
• Written Communication - Writes clearly and informatively, edits work for spelling and grammar, varies writing style to meet need, able to read and interpret complex written information
• Self-Management - Effectively and efficiently manages time, ability to multi-task, sincere and positive attitude, willingness to constantly learn and grow
• Professionalism -Accepts responsibility for own action and follows through on commitments
• Compliance -Adheres to rules and regulations as stated and required by advisor, Cetera Advisor Networks LLC, and FINRA
• Reliable - Is consistently at work and on time, follows instruction, responds to guidance

Qualifications:

Education/Experience:

• Bachelor's degree from a 4-year college or university preferred
• 3+ years of experience in the financial industry preferred

Language Skills:

• Ability to write/type letters to clients, business correspondence, and case notes in a clear, concise, and professional manner

Computer Skills:

• Proficient in Microsoft Office Suite (including MS Word, Excel, and Outlook)

Registrations and Licenses: Currently possess or have the desire to obtain the following federal and state licenses/registrations for securities and insurance:

• FINRA Series 7
• FINRA Series 66
• Salary Depending upon experience: $45,000-$60,000
• Benefits Available