Position Overview
We are seeking a highly organized, detail-oriented, and proactive Financial Advisor Assistant to support a busy financial advisory practice. This individual will play a key role in client service, new business processing, investment analysis, marketing, insurance support, and overall office administration.
The ideal candidate is professional, analytical, service-minded, and capable of handling multiple responsibilities in a fast-paced environment.
Key ResponsibilitiesClient Service & Account Management
- Meet with clients alongside the Financial Advisor or independently
- Assist in preparing for client review meetings
- Follow up on client service requests
- Maintain accurate client records and CRM updates
- Generate client performance and portfolio reports
- Coordinate account paperwork and custodial follow-up
Investment & Planning Support
- Prepare investment proposals and asset allocation models
- Conduct market research and analysis
- Assist with financial planning projections
- Monitor portfolios and prepare review materials
- Support rebalancing and trade documentation (as licensed and permitted)
New Business Processing
- Process new account applications (brokerage, advisory, retirement plans, annuities)
- Coordinate ACAT transfers and rollovers
- Track pending business and follow up with custodians/carriers
- Ensure proper compliance documentation is completed
Life & Health Insurance Support
- Assist in selling life and health insurance products (if licensed)
- Prepare insurance quotes and illustrations
- Manage underwriting requirements and follow up with carriers
- Service existing policies (beneficiary changes, policy loans, withdrawals, address changes)
- Assist clients with claim processing and documentation
Marketing & Business Development
- Assist with seminar planning and client events
- Prepare marketing materials and presentations
- Manage email campaigns and client communications
- Support website and social media updates
- Maintain client mailing lists and newsletters
Administrative & Office Support
- Manage calendars and schedule appointments
- Answer phone calls and client inquiries professionally
- Coordinate mailing, document preparation, and scanning
- Maintain orderly office systems and filing
- Ensure compliance procedures are followed
Qualifications
- Bachelor’s degree preferred (Finance, Accounting, Business, Economics or related field)
- FINRA licenses (Series 7, 63/65 or 66) preferred but not required
- Life & Health Insurance license preferred
- 2+ years of financial services experience preferred
- Strong analytical and organizational skills
- Excellent verbal and written communication skills
- Proficiency with Microsoft Office, CRM systems, and financial software
- Chinese speaking preferred
Key Competencies
- High attention to detail
- Strong follow-up and execution skills
- Professional demeanor with clients
- Ability to multitask and prioritize effectively
- Confidentiality and ethical judgment
- Problem-solving mindset
Growth Opportunity
This position offers the opportunity to grow into a junior Financial Advisor role for the right candidate.
Job Types: Full-time, Part-time
Pay: $42,000.00 - $60,000.00 per year
Expected hours: 6 – 8 per week
Benefits:
- 401(k)
- 401(k) matching
- Dental insurance
- Employee discount
- Health insurance
- Paid time off
- Paid training
- Vision insurance
Work Location: In person
