Licensed Financial Assistant

The Licensed Investment Client Service / Licensed Financial Assistant 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.

Essential Functions

• Serve as key point of contact between advisor, prospects, and clients: scheduling and confirming appointments
• Anticipate, understand, and respond to the needs of investment advisor and the clients to meet or exceed expectations

• Identify and clarify client needs

• Assist investment advisor to satisfactorily address client questions, account changes, services request, 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

• Correspond with clients to handle various client service requests such as money transfers, funds requests, systematic transactions, and general account-related questions

• Open client accounts and 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 to prepare and implement client investment annual reviews recommendations

• 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

 Competencies

• Financial industry knowledge
• Client service experience, genuine desire to connect with clients
• Strong analytical skills, meticulous, high attention to detail, and accuracy
• Proven time management and organizational skills
• Strong computer skills, including Microsoft Office Suite
• Capacity to manage the needs of multiple clients simultaneously

Required Education and Experience

• BA or BS in Business/Finance/Accounting, equivalent work experience, or greater
• FINRA Series 7 and 66 license required
• Minimum two - five years in the financial services industry, including brokerage houses, financial services firms, or financial planning and/or wealth management firms

Required Knowledge/Skills/Competencies

• 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
• Demonstrates the ability to work in a fast-paced environment and evolve with change
• Relationship-building skills and commitment to establishing long-term client relationships
• The desire to learn and willingness to take on increasing responsibility
• Able to critically think "outside the box" to provide solutions for clients'
• Strong ability to communicate orally and in writing
• Ability and willingness to quickly learn and adapt to new technology
• Maintains high ethical standards and confidentiality

Employee Status

• Full-Time - Exempt

Work Location

• One location

Work Remotely

• Flexible Environment

Benefits:

Summit provides eligible full-time employees with a $725 monthly benefit allowance to assist with medical, dental, and vision premiums; eligible employees electing to participate in one of Summit's high deductible medical plans may also use the monthly benefit allowance to make contributions to an Optum HSA.

• Medical Insurance
• Dental Vision
• Employer Paid Group Term Life Insurance
• Employer Paid Long-Term Disability
• Safe Harbor 401k plan,100% match of the first 3% and a 50% match for the next 2%.
• Voluntary Payroll Deduct Options - Short-term disability, personal accident indemnity, cancer, and hospital advantage programs
• Paid Time Off - "Years of service" tiered schedule, accrue up to 15 days - year 1.
• Paid Sick Leave - 1-hour of paid sick time leave for every 30-hours worked capped at 48 hours per year
• 2022 Holidays - Summit offers employees 10 Paid Holidays based on full-time employment

Hourly Salary Range (Annualized):  $24.18 - $28.07 DOE

An offer of employment is contingent upon the acceptable results of personal background and reference checks per firm standards.

If interested, please provide a cover letter and resume expressing why you would like to partner with Summit Wealth Group. These can be sent to 1SummitHR@summitwealthgroup.com