Broker Check

Financial Assistant - Lone Tree, CO

Summit Wealth Group is seeking a full-time Investment Financial Assistant to join our fast-growing, independent wealth management firm. The Investment Financial Assistant position is a unique opportunity for a motivated, personable, and articulate individual who enjoys building relationships with people.

We are an independent wealth management firm whose vision was born out of a simple desire to enable clients to reach their fullest financial and personal potential. What is at the heart of Summit Wealth Group? Simply put, it is the individuals and families we proudly serve. It is about their hopes, dreams, and aspirations. It is about being at our best so our clients can be at their best.

The position is responsible for providing administrative support and assisting investment advisors in maintaining, enhancing, and nurturing existing and new client relationships by providing support through analysis, recommendation, and implementation expertise. This role is expected to provide exceptional service to facilitate client growth and retention.


  • Anticipate, understand, and respond to the needs of investment advisor and the clients to meet or exceed expectations
  • Identify and clarify client needs
  • Research services that will enhance client relationships or fulfill clients’ short- and long-term financial needs
  • Assist investment advisor to satisfactorily address client questions and concerns
  • Based on a client’s personal and financial goals, work with the investment advisors to provide comprehensive analysis of account portfolios, asset allocations, and investment objectives to determine if rebalancing is suitable
  • Handle the day to day operations of the investment advisors by maintaining and tracking all pending investment paperwork, incoming documents, and assets under management
  • Preparing and processing paperwork utilizing electronic signature process
  • Meet with clients to review paperwork; ensure that all required forms are accurately complete
  • Allocate incoming proceeds according to model allocation or advisor’s instructions
  • Follow up with client and serve as primary liaison with broker/dealer and investment companies to ensure exceptional client service
  • Work with investment advisors and financial planners to prepare and provide client investment and planning reviews for presentation
  • Maintain books and records to confirm client portfolios align with suitability requirements 
  • Request insurance illustrations, prepare comparisons, create application paperwork, and communicate with client and insurance providers on case status
  • Remain current on industry developments, regulatory issues, service, and product enhancements 
  • Comply with all FINRA, SEC, and Commonwealth compliance requirements  


  1. Financial industry knowledge
  2. Client service experience
  3. Strong analytical skills, meticulous, high attention to detail, and accuracy
  4. Proven time management and organizational skills
  5. Genuine desire to connect with clients
  6. Strong proficiency with Microsoft Office Suite
  7. Capacity to manage the needs of multiple clients simultaneously


  1. BA or BS in Business/Finance/Accounting, equivalent work experience, or greater
  2. FINRA Series 7 and 66 license preferred or willing to obtain within 90-days of employment
  3. Minimum three-five years in the financial services industry, including brokerage houses, financial services firms, or financial planning and wealth management firms


  1. Works cooperatively and effectively with others to set goals, resolve problems, and make decisions to enhance firm’s effectiveness; ability to undertake self-directed tasks when necessary
  2. Demonstrates the ability to work in a fast-paced environment and evolve with change
  3. Relationship-building skills and commitment to establishing long-term client relationships
  4. The desire to learn and willingness to take on increasing responsibility
  5. Able to critically think "outside the box" to provide solutions for clients'
  6. Strong ability to communicate orally and in writing
  7. Ability and willingness to quickly learn and adapt to new technology
  8. Maintains high ethical standards and confidentiality

Supervisory Responsibility
This position may have supervisory responsibilities.

Work Environment 

This job operates in a clerical office setting. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines. 

Position Type and Expected Hours of Work

The Registered Financial Assistant position is full-time. Days and hours of work are Monday through Friday, 8:00 a.m. to 5 p.m. Some flexibility in hours is allowed, but the employee must work 40 hours each week to maintain full-time status unless the employee and the direct supervisor agree to a flexible work agreement.


This description in no way states or implies that these are the only duties to be performed by an employee occupying this position. Employees may be required to perform other related duties as assigned, to ensure workload coverage. Employees are required to follow any other job-related instructions and to perform any other job-related duties requested by their supervisor.


Limited travel required for company meetings, training and occasional meetings at client locations.  The employee must be able to travel independently on an infrequent basis, including some overnight stays.

AAP/EEO Statement

Summit provides equal employment opportunity to all individuals regardless of their race, color, creed, religion, gender, age, sexual orientation, national origin, disability, veteran status, or any other characteristic protected by state, federal, or local law.

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