Associate Financial Advisor

Position:

Job Type:

Full-time

Location:

In Office/In-Person

Pay (Typical Range):

$75,000.00 - $90,000.00 per year

Company Description:

Carbon Wealth Management (CWM) is a Registered Investment Advisory (RIA) that engages with clients through: financial planning services; portfolio management for individuals and/or small businesses; pensions consulting services; and educational seminars and workshops; Our goal is to provide financial advice to our clients that creates a high-quality customized financial roadmap that aligns with the clients ultimate objective.

Position Description:

Our Associate Financial Advisor opening is an opportunity to work in a professional setting, at an intimate, yet, growing work environment. CWM's primary internal goal is to provide our clients with an unparallelled service experience. The Associate Financial Advisor will report to CWM Executives and Senior Financial Advisors. This position will be supported by other staff members within our office, likely an Executive Assistant and Client Service Associate. This is an instrumental role within our organization that will leverage your strengths and talents in hopes of cultivating and managing client relationships, as a trusted partner in our Clients daily lives. When providing services to Clients, the Associate Financial Advisor will be responsible for creating comprehensive financial plans, portfolio management, pension consulting services, and educational seminars. In this regard, professionalism, organization, timely delivery of work assignments, and confidentiality are critical.

Responsibilities are Client focused and project based. Associate Financial Advisor must be detail oriented and have the flexibility and ability to prioritize various projects and take initiative on tasks. Regular and ongoing Client interaction and managing CWM's Client relationships will be of utmost importance. Responding to Client emails, document preparation, maintaining records and note taking, and cross-departmental communication will also be of significance. Associate Financial Advisor will also be responsible for executing Marketing and Client Acquisition initiatives. Tantamount to this role is confidentiality. Candidates must exercise extreme discretion and be comfortable handling highly sensitive materials.

Duties include:

Client service:

Assess Clients risk tolerance; assess Clients ultimate goals and timeframe; recommend portfolio and product solutions that will fit the Client's risk tolerance goals and timeframe; run illustrations and hypotheticals; develop appropriate product deliverables; execute appropriate trades to align with proposed portfolio; monitor economy, markets and world events to determine any required strategic portfolio rebalancing; assists with client presentations, including preparing, assembling and proofreading various documents for client books, PowerPoint and Excel documents for presentations, and marketing material and various forms; return Client calls, commemorate Client milestones by presenting gifts, and represent CWM Executives as appropriate; maintain various aspects of Client accounts including opening new accounts, processing and submitting documents, and initiation and filing of Client Advisory Agreement; handle alerts and action items from platforms. master custodial, portfolio management, and customer relationship management software and platforms; provide Client operational support, including entering trades and executing money movement; maintain information in the contact management system; Assists with formulation of policies and procedures regarding opening accounts, maintenance of Client files, monthly preparation of information for Client billing and other operational functions performed on a regular basis; Track and hold Clients accountable to agreed upon actions; Write notes or letters to clients on firm letterhead;

Client Coordination & Scheduling: Coordinate internal calls and meetings between CWM Executives and Senior Financial Advisors and CWM Clients; serve as a secondary point of administrative support; support needs for Client interactions and activities; Coordinate professionally across different firm employees with ease.

Marketing:

Assist in development and implementation of annual marketing plan to meet Client acquisition goals; Assist in development and implementation of client referral program; Contact prospects to set up meetings or appointments, and maintain calendar in accordance with annual marketing plan and Client referral plan in order to meet Client Acquisition goals; Coordinate Seminars and Client appreciation events; Leverage current network for potential prospects;

Business Management:

Provide guidance to junior staff members, using expertise gained throughout years of service in the Financial Services industry; Review work methods and procedures for possible quality improvements and efficiencies and implement them when appropriate; Assign and delegate work and provide feedback, when appropriate, to other firm support staff members; Participate in daily Scrum and weekly staff meetings; Act as a technical resource and provide training and support to other staff members;

Meeting management & support: Serve as a point of contact for onsite Client visits or other CWM initiatives at our Carbon Wealth Management office; Facilitate Client travel needs and meal logistics; reserve and prepare meeting spaces and materials or deliveries; handle technical and IT needs;

Data management & file storage: Develop proficiency in Carbon Wealth Managements CRM; Complete regular updates to client contact information, pull reports, and complete basic tasks; Assists with data entry maintaining client hard copy and electronic files;

Event support: Offer event support for local client and CWM engagements as appropriate; This may include printing, shipping, compiling materials, staffing and set up; Assists with seminars through preparation and maintenance of invitee and attendee list, preparation and mailing of invitations and maintenance of responses, and vendor relations concerning orders and logistics;

Service Team support: Assist with planning/scheduling team offsites and quarterly meetings, team milestones and celebrations, onboarding new hires, managing inventory, and general administrative needs.

File storage and operational infrastructure: Help manage CWM file storage and structure. Make recommendations for improvements and serve as the onsite point of contact with third party vendors.

Requirements:

Successful candidates must demonstrate the following:

Clean Broker Check
Securities license/Certification-SIE, Series 6, Series 7, Series 65, or Series 66 license
1+ years of experience as an Financial Advisor
Understand importance of being Client orientated
Flexibility around work days occasionally making yourself available to meet Clients needs outside of traditional business hours
Highly organized with strong attention to detail
Proficiency using Microsoft Office Suite, including: Outlook; Word; Excel; and PowerPoint;
Proficiency in CRM products
Willingness to learn other industry-specific technology/custodial systems, as required.
Strong organizational and time management skills, especially with competing priorities; respond to multiple inquiries and project requests
Strong verbal & written communication skills and professional phone manner; quick response time essential
Ability to meet strict deadlines and adapt to shifting priorities
Internally driven, self-starter with good judgment and comfort working in uncertainty
Familiarity with financial services industry
Equivalent of a Bachelor’s degree or 4-years of college preferred.
CFP or similar credentials would be of extra value
Confidentiality and discretion a must

Benefits:

Health Insurance
Potential Sign-On Bonus
Retirement plan 401(k)
Paid Time Off
FSA/HSA benefits plans

EQUAL EMPLOYMENT OPPORTUNITY Carbon Wealth Management is committed to providing equal employment opportunities and ensuring that all employment-related decisions are made without regard to race, color, sex, age, national origin, religion, physical or mental disability (unrelated to the ability to perform job duties) veteran status, or any other protected status under applicable law.