Associate Advisor

Overview

This role serves as an Associate Advisor, acting as a bridge between clients, support teams, and the advisor team. The position supports the firm’s advisory vision by fostering a positive team culture and delivering an exceptional client experience across Personal CFO (Financial Planning + Investment Management), Business Retirement Plan, and Tax Preparation.

The Associate Advisor contributes to technical financial planning, research, and portfolio management under the supervision of Lead and Senior Advisors. The role provides exposure to the full advisory lifecycle and a rotational perspective across key firm operations, including client service, compliance, tax preparation, and investment management. Responsibilities are designed to build proficiency in business fundamentals, support advisors, and develop the capacity to ultimately own and manage client relationships.

Responsibilities

Core Advisory Support

• Meeting preparation & execution: Prepare client agendas, review notes, financial plans, net worth statements, and custom deliverables before and after client meetings; attend meetings to take notes, record key insights, send client summaries, and drive execution of action items.
• Financial planning & data analysis: Gather, organize, compile, and audit client financial data (income, expenses, assets, liabilities, tax documents, etc.) across core systems. Analyze scenarios in financial planning software to support retirement, tax, estate, and risk management strategies.
• Client service & relationship management: Act as a responsive point of contact for routine client questions and non-advisory requests. Communicate updates clearly and handle follow-up before and after meetings. Delegate non-advisory tasks to Client Service Associates as appropriate.
• Portfolio & risk monitoring: Contribute insights for ongoing portfolio monitoring, rebalancing data, and asset allocation checks to ensure alignment with client objectives. Proactively identify potential risks, opportunities, or updates needed in client records.
• External partner coordination: Coordinate with clients’ external professional advisors (CPAs, estate planning attorneys, insurance specialists, etc.) to facilitate seamless plan execution.

Tax Preparation & Planning Support

• Tax team synergy: Collaborate with the client-dedicated CPA and tax team when preparing tax review and tax planning topics for client meetings.
• Tax resources: Use tax client resources (tax organizers, tax-specific client work folders, projection tools, etc.) to support document and information gathering for return preparation by the tax team.

Operational, Cross-Departmental & Compliance

• Cross-departmental collaboration: Support key firm departments including Client Service & Operations (account opening and workflow tracking), Marketing (content and client communications), and Investments (portfolio construction and reporting exposure) as needed.
• Compliance maintenance: Follow firm compliance policies and regulatory standards (SEC/FINRA regulations), accurately maintain CRM workflow tracking, handle confidential data, and assist with compliance audits or regulatory projects as assigned.
• Support firm goals: Establish and execute quarterly Rocks that support firm-wide annual initiatives.

Requirements

• Education: Bachelor’s degree with preference toward majors in Finance, Financial Planning, Economics, Business, or a related field.
• CFP® pathway: Active plan for completion of the CFP® designation.
• License: Series 65 license required (or obtained within an agreed-upon timeframe upon hire).
• Experience: 0–2 years of direct experience in advisory services, wealth management, or ERISA plan support.

Preferred Qualifications

• Experience with financial planning software such as RightCapital Holistiplan, Nitrogen, and/or similar industry alternatives.
• Preferred experience with Salesforce or similar CRM systems.
• Experience with AI tools such as Hazel or Gemini.
• Familiarity with Google Drive/Google Sheets, Microsoft Excel, and portfolio reporting tools (e.g., Orion, Tamarac).

Skills & Capabilities

Financial & Analytical Knowledge

• Knowledge of financial planning principles, including cash flow analysis, tax planning, estate planning, insurance, retirement strategies, and behavioral finance.
• Understanding of time value of money concepts (PV, FV, annuity payments, IRR, compound interest) and numerical accuracy.
• Familiarity with investment advisory regulatory frameworks.

Technical & System Proficiency

• Proficiency with financial & tax planning software and portfolio reporting tools (as listed above).
• Familiarity with CRM workflow tracking and documentation practices.
• Ability to work effectively in a virtual environment.

Soft Skills & Professional Attributes

• Communication: Outstanding verbal, written, and active listening skills, with growing ability to translate complex financial concepts into clear client advice.
• Empathy & EQ: High emotional intelligence, supportive non-judgmental approach, and active listening to understand client priorities and build long-term trust.
• Organization & adaptability: Detail-oriented with strong time management skills; ability to prioritize competing tasks; ability to handle market-driven stress.
• Integrity & professionalism: Demonstrates personal integrity, strict confidentiality, and high professional standards with clients, vendors, and internal teams.

Compensation & Benefits

Not specified in the provided job description.

Location

Not specified in the provided job description.