Job Description

RESPONSIBILITIES: The Associate Financial Advisor’s primary responsibility is to support and work along side the Lead (Senior) Advisor so together, you can provide exceptional service to existing clients. Your role is to gain knowledge, practical experience and skills in handling all aspects of client relationship management related to client servicing Your responsibilities include meeting with our firm’s clients with Lead Advisor on a quarterly to annual basis to review the client’s financial position and work with the Lead Advisor to determine if the client is on track to meet their goals and objectives. If not, you will make recommendations to the Lead Advisor as to what specific adjustments should be made to the client’s plan and then determine what responsibilities you have in implementing the client’s agreed upon changes. Along with the Lead Advisor, you will ensure the changes are implemented in a timely manner. In most cases you will serve as the primary contact for our clients. Your attitude, proactivity, responsiveness and effectiveness in completing tasks must be excellent at all times since your level of performance will be a large part of determining our clients’ level of satisfaction with our services.

You are part of a service team, which includes an Administrative Assistant and a Lead Advisor. Your are responsible for working along side our Lead Advisor to construct detailed, effective financial and investment plans in a timely manner by using our firm’s chosen software applications. You must be able to design and discuss with the Lead Advisor thoughtful and appropriate financial planning advice for each client. You will support the Lead Advisor and will independently come up with client planning suggestions to discuss with the Lead Advisor. You and the Lead Advisor will work together to decide on the most appropriate planning solutions for each client. You will also serve as the primary communicator to the client. You will assist with managing all planning and administrative tasks that need to be completed for each client.

You meet along side the Lead Advisor with prospective clients to begin building a relationship. You assist with note taking and getting to know the client. You enjoy getting to know clients, their families and their unique goals, which enables you to provide the very best advisory services in a supporting role.

Your focus is on becoming a well-liked, trusted advisor to our clients where you become part of an indispensable service team in their lives. You also become a role model and a valued, indispensable team member to your co-workers. Your primary job responsibility is to excel in a supportive role that creates “raving fan” clients who refer others to our firm.

THE DAILY TASKS FOR WHICH YOU ARE RESPONSIBLE:

• In-office work during normal business hours Monday-Friday

• Work on acquiring skills and experience which can lead to a Lead Advisor position

• Oversee client relationships while developing wealth management and financial planning knowledge in addition to learning fundamental practice management techniques

• Participate on calls and sit in on meetings to gain an understanding of the client needs, relationship management and new business opportunities

• At the appropriate time, begin to be responsible for relationships by communicating with or responding to client needs without a Lead Advisor present

• Help keep the service team working together smoothly and efficiently

• Work along side the Lead Advisor as appropriate

• Schedule appointments for prospects, clients and other professionals the advisory team would meet with

• Travel to the bay area a few times each month is a requirement.

• Maintain the office calendar for each advisor

• Act as a primary contact for handling client meetings and transactions, responding to and resolving routine client inquiries

• Respond to and follow through with appropriate client requests and prospect inquiries

• Conduct prospect and client meetings with Lead Advisor

• Assist with organizing securities trades

• Implement assigned new business activities according to workflow

• Assist with preparing information for proposals

• Assist with preparing materials for meetings, as needed

• Maintain communication with current clients through on-going mailings, email and phone calls

• Excel in administrative, operational and client service support

• Learn and use the firm’s workflow system on a daily basis, which will specifically guide you step by step how to complete any task for which you are responsible

• Be involved and network in the community

• Proficiency with using a WealthBox CRM

• Proficiency with using financial planning software such as eMoney and MoneyTree

• Proficiency with using portfolio management software such as Morningstar and Tamarack

• Proficiency with using document management software such as Docupace or LaserApp

CHARACTERISTICS:

• Possess the highest level of honesty, ethics, integrity

• Possess self confidence and drive

• Working knowledge of investment management

• An understanding of fiduciary responsibility and the ability to work under this standard of service at all times

• Possess excellent personal relationship skills

• Possess good technical skills in the areas of financial planning and investment portfolio management

• Ability to effectively multi-task

• Thrives as a team player

• Exceptional client service and problem-solving skills

• Ability to get along with all different personality types

• Ability to be empathetic and conduct fluid conversations with all different age groups and personality types, both on the phone and in person

• Ability to be professional with and friendly to everyone you interact with

• Maintain a high level of confidentiality

• Be very organized with attention to details

• Advanced computing skills including online navigation, proficiency with Microsoft Excel, Word, PowerPoint and ability to learn other Cloud-based software applications

• Possess a good sense of humor

• Work proactively by anticipating problems and always looking for ways to improve processes and outcomes

• Be self-directed with the ability to learn new tasks with ease

• Be proficient at organizing your time and prioritizing your work independently

• Able to receive appropriate criticism and suggestions for improvement

• Able to be flexible and adapt to changes when necessary

• Good oral and written communication skills

• Maintain a Series 65 (and Series 6 or 7) license and active California Insurance License

Company Description

For more than 30 years, ATS Wealth Management, Inc. has provided hundreds of clients with wealth management and estate planning services customized to meet their specific needs now and for the future. ATS provides support for multi-generational family needs to assure clients that their wishes for their heirs are carried out accurately and with consideration for tax efficiencies and ever-changing legal requirements. The team at ATS Wealth Management treats every client as part of the ATS family with the highest level of personalized, trustworthy and accurate information and strategies. As an independent RIA fiduciary advisor company, ATS wealth managers are not tied to any specific product, program or method as they craft and implement the individualized plans to help each client grow their wealth and, when the time comes, have it passed on to their heirs according to their wishes. Working at ATS Wealth Management provides you the opportunity to join a cohesive, exciting team of professionals who all work together to meet client needs. The many success stories that our clients share with us prove that we are providing them with the highest levels of client satisfaction. Learn more about our company at www.ATSWealthManagement.com