Associate Investment Advisor

Position Summary The Associate Advisor works under the lead Investment Advisors to service client relationships, execute portfolio management decisions and prepare financial planning analysis and recommendations.

Essential Functions:

1. Work directly with clients to complete the initial financial planning process Initiate and facilitate client data collection process
   1. Input client financial data into financial planning software
   2. Coordinate with lead Investment Advisor to prepare for financial planning meetings, including follow-up with clients for any additional needs
   3. Attend client meetings and lead the financial planning conversation
   4. Schedule financial planning debrief meeting with lead Investment Advisor and discuss communication and follow-up steps
   5. Support communication and follow-up steps as requested
   6. Work with lead Investment Advisor to prepare final financial planning reports and recommendations
   7. Coordinate and support clients and lead Investment Advisor with completing recommendations in timely manner
2. Support Investment Advisors with ongoing financial planning and analysis
   1. Tax planning Ensure most recent tax return is received and filed in the appropriate folder (including reaching out to CPA when needed)
      1. Load tax return data into tax planning software
      2. Work with lead Investment Advisor to update current year client-specific assumptions
      3. Discuss tax planning opportunities and recommendations with client
      4. Support as needed with the presentation and follow-through of tax planning recommendations to client
   2. Other financial planning objectives (Estate, Charity, Education, Insurance, etc.)
      1. Request appropriate documents from client (including reaching out to third party advisors when needed)
      2. Review and discuss potential strategies and recommendations with clients
      3. Support as needed with the presentation and follow-through of planning recommendations to clients
3. Support ongoing maintenance of client financial plans and documents
   1. Support the pre-meeting process to review the plan and timeliness of client documents
   2. Request updated information as needed to prepare plan prior to review meeting
   3. Update plans with new information
   4. Discuss updated plan with clients
4. Maintain and increase planning knowledge and skills
   1. Review updated tax and estate laws, planning best practices and client service concepts to ensure highest quality planning recommendations
   2. Attend conferences and webinars that provide new insights and ideas that would benefit the NPF financial planning process
   3. Document and distribute critical updates and news to planning and advisory team
   4. Serve as a financial planning subject matter expert at the firm – support marketing efforts through content creation
5. Assist lead Investment Advisors with client service needs
   1. Respond to client questions and administrative requests
   2. Coordinate review meetings and calls with clients
   3. Attend client meetings and take notes
   4. Support onboarding of new clients
6. Assist lead Investment Advisors with portfolio management responsibilities
   1. Review Investment Policy Statements and ensure compliance in client portfolios
   2. Raise cash when needed for client disbursements
   3. Review and approve trades for accounts
   4. Prepare reports and meeting materials
   5. Regularly review portfolio allocations and recommend rebalancing opportunities
   6. Submit requests for fixed income purchases to investment team
7. Support other initiatives and projects as needed and assigned by the management team or others.
8. Qualifications and Experience
   • Bachelor’s degree
   • Greater than five years of financial planning and/or advisory experience
   • CFA, CFP or similar financial planning designation
   • CPA or MST preferred, but not required
   • Proficient in Microsoft Office (Word, Excel)
   • Excellent interpersonal skills
   • Professionalism, good judgment, and sense of discretion:  we are in contact with confidential client wealth and income information.
   • Curiosity and openness to learning new things, including software; willingness to support other employees and clients as needed.
   • Excellent attention to detail.
   • Strong typing, writing, spelling and proofreading skills.
   • Ability to work effectively as a member of a team.