Job Description

Associate Financial Advisor (AFA) - Securities Registration Not Required

OVERALL FUNCTION

The Associate Financial Advisor (AFA) specializes in client service and supporting the financial advisor as he/she focuses on building his/her practice and client relationships. An AFA also ensures the continuation of an efficient, effective, and organized office. This individual is a liaison between the network office and home office, financial advisor, and clients. Specific responsibilities may include but are not be limited to:

GENERAL SUPPORT*

• Maintain client case files, file statements, account forms and other insurance/investment-related materials.
• Maintain financial advisor’s calendar and schedule follow-up appointments. Answer and direct telephone calls as appropriate.
• Process client/prospect reservations for marketing events such as seminars. Assist in preparation of client meetings.
• Maintain supplies of current insurance/ investment-related materials.
• Input data, print proposals and gather information at direction of financial advisor in preparation for client/prospect meeting.
• Contact clients to set up follow-up meetings with registered advisor.
• Contact clients to confirm receipt of forms or request return of completed forms. Maintain current client information for all product lines.
• Monitor Document Due Report (DDR); expedite any additional documentation requirements.
• Communicate with home office and professional partners, as needed, to supply or obtain information.
• Prepare/print letters of instruction for client signature.
• Prepare documents for delivery.
• Send client birthday cards and schedule birthday/age change appointments for representative.

CLIENT SERVICE SUPPORT: NON-SECURITIES INSURANCE*

• (Non – securities refers to fixed or non-variable insurance/products.)

• Participate with the support of employing financial advisor in various activities of the sales cycle for non-securities products

• Develop and execute plans for non-securities products

• Meet with clients to complete non-securities insurance-related applications

• Actively participate in conservation of non-securities existing business

• Review applications and all forms for completeness and accuracy.

• Provide current status and account values for non-securities-related accounts

• Contact and consult with clients regarding services and/or fees for non-securities sales- and service-related issues

• Process incoming non-securities-related insurance service requests from clients: process address changes, bank change information, and loan requests

CLIENT SERVICE SUPPORT: INVESTMENTS*

• Gather information for registered representative’s meeting with clients/prospects (prospectuses, annual reports, Morningstar reports). Enter investment data into planning software (non-asset allocation components only)
• Prepare account summaries for variable and securities owners
• Print and distribute forms to existing clients
• Review variable investment applications, account changes for completeness and accuracy and return to registered representative (RR) if missing information
• Complete order tickets and new account forms based on information obtained by RR
• Receive and deposit checks and related paperwork to the home office
• Work with home office to resolve client account issues.
• Provide account values and performance to clients at the direction of RR

QUALIFICATIONS

• Financial Service or Insurance industry experience preferred
• Experience in administrative support or customer service, preferably in the financial services and/or insurance industry
• Excellent oral and written communication skills
• Familiarity with Microsoft applications and data entry and information retrieval software
• Demonstrated organizational and time management skills and ability to multitask, set priorities and meet deadlines
• Strong attention to detail with the ability to work with a high degree of accuracy
• Ability to proactively identify what needs to be accomplished and take action as appropriate
• Has interest in learning on a continuous basis
• Ability to work both independently and in a team
• Ability to maintain confidentiality

Job Type: Full-time

Salary: up to $40,000.00 /year              Retirement Plan                        Paid Time Off (PTO)

Required experience:

• Willingness and ability to Learn

To Apply:  Resume to:  CORNERSTONE RETIREMENT ADVISORS, INC.  / 1139 Fehl Lane / Cincinnati, OH  45230   

CORNERSTONE@RAYMONDJAMES.COM EMAIL / (606) 564-3962 fax / CORNERSTONE2RETIRE.COM

CORNERSTONE RETIREMENT ADVISORS, INC. is an independent practice,

not a registered broker-dealer, investment advisory services and securities offered through

RAYMOND JAMES FINANCIAL SERVICES, INC., MEMBER FINRA/SIPC.