Investment Associate

Job Summary:

The Investment Associate partners with Financial Advisors to support the development and delivery of comprehensive financial and investment strategies for clients and prospects. This role also assists with account opening, client onboarding, account maintenance, transfers, transactions, money movements, and other servicing activities in accordance with firm procedures.

Job Duties and Responsibilities:

• Partner with Financial Advisors to review client portfolios, understand financial goals and objectives, analyze client data, and identify planning and investment needs.
• Assist with account opening, client onboarding, account maintenance, transfers, transactions, money movements, and other servicing activities in accordance with firm procedures.
• Conduct financial analysis and assist in developing comprehensive financial plans and tailored strategies addressing clients' short- and long-term financial goals.
• Evaluate retirement planning needs, including individual and employer-sponsored retirement plans, and research appropriate planning alternatives.
• Research and analyze investment, risk management, insurance, tax, and other financial planning considerations to support client recommendations.
• Prepare customized financial plan observations, investment analyses, recommendations, presentations, and other materials for client and prospect meetings.
• Prepare for and participate in client meetings and coordinate follow-up communications and action items to ensure recommendations and service needs are addressed.
• Maintain accurate client and account records and ensure financial planning, investment, and client service activities are completed in accordance with firm policies, procedures, and regulatory requirements.
• Participates in available training and educational programs to maintain current status on policies, procedures, and risk awareness.
• Each team member is expected to be aware of risk within their functional area. This includes observing all policies, procedures, laws, regulations and risk limits specific to their role. Additionally, they should raise and report known or suspected violations to the appropriate Firm authority in a timely fashion.
• Performs other related duties as required.

Minimum Education: Bachelor's degree OR an equivalent combination of education and experience.

Minimum Experience: Two years of sales support experience in the financial services industry.Series 7 and 63 or 65 or 66 licenses.