Associate Financial Advisor
What Makes This Opportunity Unique?
- Unique opportunity to grow as an Associate Financial Advisor while supporting comprehensive financial planning and client service in a salaried role, with no personal book of business required.
- Work closely with a dedicated owner who genuinely cares about people and their success, focusing on clients' needs over product sales.
- Play a significant role on our small, growing team while expanding your knowledge and skills through our proven process.
- Always know what is expected and how to achieve it, ensuring clarity and confidence in your role.
Ready to take the next step in your advisory career? We’re looking for a motivated Associate Financial Advisor with 1–3 years of financial services experience to join our team and help deliver an exceptional client experience. This role is ideal for someone who enjoys financial planning, relationship building, and learning from experienced advisors while contributing to meaningful client outcomes.
Description
We are looking to add an Associate Financial Advisor to our team. Our firm prioritizes comprehensive financial planning for clients, making this role ideal for an early-career advisor who wants to build technical planning knowledge, strengthen client relationship skills, and grow within a team-based advisory environment.
The Associate Financial Advisor supports the Managing Partner and advisory team in serving current clients and preparing for client meetings. Responsibilities include serving as a point of contact for assigned client relationships, coordinating proactive client reachouts, supporting soft-selling conversations that identify client needs and opportunities, data gathering, data management and analysis, assisting with the development of financial planning recommendations, plan implementation support, portfolio research, and follow-up on client service needs. This role will participate in client meetings, help set up and prepare for investment reviews, and gradually take on more responsibility as experience, confidence, and proficiency grow.
This position is perfect for an advisor with approximately 1–3 years of experience who wants to deepen their planning knowledge, contribute to a collaborative team, and serve clients without the pressure of immediately building a personal book of business. Over time, the Associate Financial Advisor may take over selected client relationships, help grow assigned client relationships through thoughtful service and planning conversations, and contribute to business development efforts through client events and relationship-building activities. Clients and responsibilities will be assigned by the Managing Partner of Mawynn Peak Financial.
Essential Duties & Responsibilities
- Support the advisory team by preparing for client meetings, gathering and analyzing client information, conducting investment and planning research, and assisting with financial planning recommendations under the guidance of the Managing Partner and senior advisors.
- Serve as a relationship point of contact for assigned clients by coordinating communications, responding to routine questions, and ensuring follow-through on service items in partnership with the advisory team.
- Conduct proactive client reachouts, including check-ins, meeting reminders, follow-up items, and outreach related to planning updates, investment reviews, and service opportunities.
- Support appropriate soft-selling conversations by identifying client needs, recognizing opportunities for additional planning support, and introducing services or solutions for advisor review.
- Set up, prepare for, and help facilitate investment review meetings, including organizing agendas, client materials, performance information, planning updates, and post-meeting follow-up.
- As experience grows, assume responsibility for selected client relationships and help deepen and expand those relationships through consistent service, planning conversations, and thoughtful follow-up.
- Assist with planning, organizing, and executing client events, educational sessions, and appreciation activities that strengthen client relationships and support firm growth.
- Provide excellent service to current clients and assist with follow-up, documentation, and preparation that supports the firm’s ongoing client relationships.
- Develop effective working relationships with internal team members and external professionals to provide effective service for clients.
- Conduct and record communications with clients and/or prospects.
- Manage, organize, and present data for Financial Advisor(s) / Office and review weekly/monthly/quarterly.
- Attend and contribute to client and team meetings.Represent the organization by developing relationships within the industry and community.
- Assist in preparing client-ready summaries related to investment performance, economic updates, and market trends for review by the advisory team.
Skills Required
A foundational understanding of the financial planning process and the ability to work within defined business processes is required. This role requires attention to detail, accuracy, curiosity, strong follow-through, and the ability to communicate clearly both orally and in writing.
Abilities Required
To perform this job successfully, the Associate Financial Advisor must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required for an early-career advisor working in a collaborative advisory environment.
- Strong interpersonal and communication skills to deal with financial advisors, support staff, vendor companies, clients, and home office staff in all types of matters including those that may be sensitive.
- Ability to express ideas clearly both in written and oral communications.
- Comprehensive understanding of company policies and procedures and industry rules and regulations.
- Project a professional and pleasant demeanor to work with advisors, administration, and clients in a deadline-driven environment.
- Commitment to providing a premier level of customer care in a calm and professional manner. Projecting a high level of service.
- Ability to effectively organize, manage, track and complete multiple detailed tasks and assignments.
- Employ solid analytical skills in researching and resolving problems.
- Ability to work independently while also seeking guidance, feedback, and mentorship when needed.
- Ability to self-motivate and work independently.
- Language Ability: Ability to read and interpret documents such as rules, instructions and manuals. Ability to write routine reports and correspondence.
- Mathematical Ability: Ability to add, subtract, multiply, and divide in all units of measure, using whole numbers, common fractions, and decimals. Ability to compute rate, ratio, and percent and to draw and interpret bar graphs.
- Reasoning Ability: Ability to solve practical problems and deal with a variety of concrete variables in situations where only limited standardization exists. Ability to interpret a variety of instructions furnished in written, oral, diagram, or schedule form.
Education/Previous Experience Requirements
Bachelor’s degree preferred and approximately 1–3 years of experience in the financial services industry, financial planning, investment operations, client service, or a related role -or- an equivalent combination of experience, education, and/or training as approved by the Managing Partner.
Professional Licenses/Certifications
- FINRA Series 7 and Series 66 preferred; candidates who are actively pursuing licensing or committed to obtaining required licenses within an agreed-upon timeframe may also be considered.
Supervisory Responsibilities
This position has no supervisory duties at this time.
COMPENSATION
- $25–$30 per hour based on experience, licensing, and qualifications
- Opportunity to transition into servicing an established $5 million client book of business
- Existing book may generate approximately $15,000–$25,000 per year in additional compensation/commissions, based on licensing, production, and firm payout structure
- 10 days PTO and paid holidays
- 401k with 6% match
Securities offered through Registered Representatives of Cambridge Investment Research, Inc. a broker-dealer, member FINRA/SIPC. Advisory Services offered through Cambridge Investment Research Advisors, Inc a Registered Investment Advisor. Cambridge and Mawynn Peak Financial are not affiliated.
Pay: $25.00 - $30.00 per hour
Benefits:
- 401(k)
- 401(k) matching
- Paid time off
Experience:
- Financial Advisory: 1 year (Required)
License/Certification:
Ability to Commute:
- Carmel, IN 46032 (Required)
Work Location: In person
