Financial Advisor Assistant

Financial Advisor Assistant

The Financial Advisor Assistant will provide financial advising, para planning and trading assistance. The client is a hybrid RIA offering investment management and financial planning services to individuals, families, and small businesses.  The client maintain the highest standards of integrity and professionalism in our client relationships.

Job Description (including but not limited to the following):

  • Prepare and Execute Trades for clients
  • Maintains client groups and prepares a listing of cash balances in accounts, as well as accounts that do not adhere to the standard allocation
  • Maintain performance, client, and other spreadsheets
  • Client processing support of the financial professional
  • Manage new client implementation process
  • Coordinate and schedule all client appointments
  • Gathering appropriate printed and electronic materials and preparing the office and conference room for client meetings
  • Coordinate and schedule prospect and wholesaler appointments
  • Work with advisor on financial modeling of client scenarios utilizing financial planning software
  • Assist in the preparation of quarterly (and other) reports
  • Assisting with our quarterly billing, compliance, and reconciliation processes
  • Coordinate and direct client events with other team members and assist as necessary
  • Manage firms website and social media sites
  • Answer and direct phone calls
  • Maintain client files and electronic data files in a timely manner
  • Provide general support to visitors
  • Book travel arrangements
  • Produce and distribute correspondence memos, letters, faxes and forms
  • Assists with identifying potential investments by studying markets and sectors. Assists with conducting research designed to compare alternate investment strategies
  • Perform other duties as assigned

Skills and Requirements:

  • Minimum of an Bachelors degree required.
  • 2-3 years related experience or training as a Financial Advisor Assistant
  • Proficiency in office administration for a financial advising firm and use of Microsoft Office Suite of Products (Excel, Word, Outlook, etc).
  • Candidate must possess high ethical standards with a keen eye for detail and strong analytical capabilities, along with a “can-do” attitude.
  • An ability to meet deadlines while multi-tasking and keeping up with a busy, demanding, client-oriented environment is a must.
  • The position requires professional appearance and excellent verbal and written communication skills.
  • You will be expected to obtain your Series 7 license within the first year of employment (fees reimbursable). *Although not necessary, an exceptional candidate will hold various FINRA financial securities licenses. This can include but not limited to series 7 and 63. If accepted for this position, possible licensing opportunities will be available in the future.
  • All interviewees will be required to take an Excel proficiency test as well as produce a sample report from the systems used by the firm. Access will be provided upon interviewing.
  • Experienced candidates only.
  • Benefits available after conversion (Paid vacation and sick leave as well as medical/dental insurance).

Ideal Candidate Skills

  • Proven office experience in a financial advisory firm or financial support role.
  • Excellent time management skills and ability to multi-task and prioritize work.
  • Attention to detail and problem solving skills in an efficient manner
  • Excellent written and verbal communication skills.
  • Strong organizational and planning skills.
  • Proficiency in MS Office (especially Excel).
  • Friendly and positive phone demeanor.
  • Experience with TD Ameritrade’s reports and/or Morningstar/Redtail client software is a huge plus.

This is a temp to hire position located in the Conejo Valley area.  The pay range is $20 to $22 hourly.  Scheduled hours: 7:30am-4:00pm or 8:00-4:30pm (if in school, they will work around your school schedule)

Job Ref. #:     4472

Location:        Westlake Village, CA

Royal Staffing Services will consider for employment qualified Applicants with Criminal Histories in a manner consistent with the requirements of the Los Angeles Fair Chance Initiative for Hiring.



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