Financial Advisor Support Specialist

Job Summary: We are currently seeking a highly motivated and knowledgeable individual to join our team as a Financial Advisor Support Specialist. In this role, you will be responsible for providing comprehensive support to our team of financial advisors and assisting with various tasks related to backoffice, middle office, and trading operations.

Responsibilities:

• Collaborate with financial advisors to gather and analyze client information, financial goals, and risk tolerance.
• Assist in the preparation of investment proposals and financial plans for clients.
• Conduct research on investment products, market trends, and regulatory requirements.
• Coordinate and execute trades on behalf of clients, ensuring accuracy and timeliness.
• Monitor client portfolios and provide performance reports.
• Handle client inquiries and provide prompt and accurate responses.
• Collaborate with the backoffice and middle office teams to ensure smooth operations and efficient client service.
• Assist with compliance-related tasks, including documentation and record-keeping.
• Stay updated on industry trends, regulations, and best practices.

Requirements:

• Series 6 within 90 days of start date, and SIE Exam certification prior to interview is required.
• Proven experience in a similar role within the financial services industry.
• Strong knowledge of investment products, financial markets, and regulatory requirements.
• Excellent analytical and problem-solving skills.
• Attention to detail and ability to prioritize tasks in a fast-paced environment

Preferred Qualifications:

• Bachelor’s degree in Finance, Economics, or a related field.
• Additional certifications such as Series 7, Series 63, or CFA.
• Experience with trading platforms and order management systems.

We offer competitive compensation and benefits packages, along with opportunities for professional growth and development. If you are a self-motivated individual with a passion for the financial industry and a desire to support financial advisors in delivering exceptional client service, we would love to hear from you!

EEO – We believe that a diverse and inclusive workplace is not only the right thing to do, but also leads to better business outcomes and drives innovation.