Associate Advisor

• Administrative support such as managing appointments, schedules, and correspondence, including scheduling client reviews, prospect appointments, and follow-up commitments; preparing presentations, reports, proposals, and other materials, ensuring completeness and accuracy.
• Following up with clients as necessary to meet commitments, obtaining additional information, gathering documents, and inputting client information in Private Client Group systems.
• Attending client meetings and/or client events in a technical, supporting and career development role.

• Financial Planning - work with the Private Client team on financial planning tasks and presentations:
• Work with the Private Client team to collect and input data on financial planning clients. Assist Financial Advisors in analyzing prospect and client financial positions, understanding investment styles, vehicles, and tax positions.
• Create and present completed financial plan to directing advisor; participate in client and prospect meetings, possessing knowledge and information to address client and prospect questions and concerns as they arise.

• Client Servicing - as a member of a Diamond Team, the Associate Advisor is responsible for assisting with the day-to-day responses to client needs and requests. To ensure timely and accurate support, manages and coordinates all client account documentation, maintenance, and support. Specific client servicing duties include, but are not limited to:
• Serving as a liaison between clients, Advisors, and the Client Service Team, utilizing available resources efficiently and accurately to assist clients and responding timely. This may include coordinating client distribution requests, helping facilitate cash movements within accounts, etc.
• Monitoring and maintaining client accounts operationally, noting any areas of concern to the Adviser.
• Review account allocations to monitor drift and work with Advisor, Trading and Operations to update client allocation as needed.
• Initiating, preparing, and maintaining client traditional and electronic correspondence including, but not limited to, mailings, annual documentation review (e.g., agreements, investment policy statement), reporting packages, etc. Accuracy, complete documentation, and proper grammar are paramount in representing the Firm.
• Documenting interactions in the Client Relationship Management (CRM) database based on client-Firm interactions, ensuring integrity of the database.

• New Accounts - coordinate a quality client experience in on-boarding a new client relationship and/or additional client accounts with the Firm to include:
• Work with Client Service Team to coordinate electronic paperwork for opening new accounts, products, and services within the Private Client Group.
• Assist with client documentation meetings to review all new account materials, review compliance, obtain/finalize required paperwork, and/or prepare applications.
• Facilitate completion of all client application and transfer documents and, where applicable, oversee the asset transfer process; establishing rapport with strategic third-party providers to ensure timely and accurate completion; work with core provider to establish client investment accounts operationally.

• Firm Operations - work in concert with the Operations team to ensure accurate establishment and maintenance of client accounts; and support Firm initiatives.

• Compliance - be knowledgeable of industry regulations and Firm compliance, assisting the Adviser in maintaining and providing compliant interactions in delivery of Wealth Management

• Bachelor's degree in finance, accounting, business, or related field from an accredited college/university.
• Preferred: Certified Financial Planner (CFP®) or similar financial planning designations.
• Required license(s): Series 65 or Series 7 and 66; or other FINRA recognized qualifying certifications.
• 3-5 plus years of Financial Advisor experience with a Registered Investment Advisory Firm, Trust Operation, or Brokerage.
• Preferred: experience in financial planning and advisory roles.

• Strong interpersonal and communication skills.
• Ability to work collaboratively within a team structure.
• Demonstrated ability to manage client relationships and develop tailored investment plans.

Greenwood Capital Associates