What are the responsibilities and job description for the Associate Financial Advisor position at Ameriprise Financial Services, LLC?
Position Description
Step into an instrumental role. Help conduct the smooth operation of a fast-paced—and friendly—private wealth advisory practice of Ameriprise Financial. Assist in daily business operations.
Associate Financial Advisors work primarily with assigned clients to help them achieve their financial goals. The employing franchise owner will lead you as you hone your skills and build a base of clients to service through referrals and prospecting efforts. As an advisor, you will be instrumental in creating and delivering a unique client experience that defines and differentiates the practice. This position will consistently follow high standards of business and professional ethics and legal and regulatory requirements when dealing with others and/or performing work activities.
This role provides client relationship support through managing, gathering and analyzing client data, helping prepare financial plans, working with clients to resolve issues and ensure accurate business processing. The role will perform miscellaneous client service tasks as needed.
At Legacy Capital, we pride ourselves on fostering an environment for personal growth and passion. No role is ever set in stone. You will be given the opportunity to grow and expand your duties, including leadership of other team members/ departments should your interests and skillset take you in that direction.
Responsibilities and Time Allocation will change over time to meet the needs of the practice and can include other duties as assigned by the hiring advisor. Schedule is full-time, primarily in-office with flexibility to work remote on an agreed upon frequency. To be assessed after 90-day ramp-up & probationary period.
Position Functions
20% Prospecting and Client Acquisition
Coordinate seminars/events to network
Leverage natural market to drive new leads
Learn and implement a repeatable client referral program
Use network marketing with Centers of Influence (accountants, attorneys) to drive referrals to our firm
25% Financial Planning and Advice
Identify clients to engage in formal planning relationships & manage the on-going up-keep of the plan
Prepare for client meetings focused on planning discussions
Positions Functions (continued)
Gather and enter client data into Financial Planning Software (MoneyGuidePro experience is helpful, but can be learned)
Create planning deliverable from the software
Perform case analysis and develop recommendations
Conduct client meetings to present recommendations and deliver advice
Track/hold clients accountable to agree upon actions
Answer questions and provide readily available information as requested by client base
25% Product Solutions
Assess client’s risk tolerance with available tools
Assess client’s goals and time frame
Recommend portfolio/robust product mix that will align with the client’s objectives
Runn illustrations and hypotheticals
Develop product deliverables as needed
Persuade clients to act upon suitable advice/recommendations
Execute appropriate trades for self-directed platforms and CRM task to our in-house traders for Discretionary Block trading accounts (APMA/Discretionary Certification required first)
Monitor economy, markets, and world events to speak intelligently in client meetings and identify strategic rebalancing needs
15% Business Management & Client Care
Business Management
Review work methods and procedures for possible quality improvements and implement when appropriate
Assign and delegate work to respective Operations support staff
Participate in weekly and semi-annual staff meetings
Act as a technical resource and provide training and support to other practice member
Client Care
Set up and maintain client management system via CRM
Adhere to client service model for appropriate meeting frequency
Write and deliver meeting recaps to participating clients
Same day response to all client inbound inquiries
Maintain files and records in accordance with our record retention policy
Key Traits For Success In The Role
Ability to source prospective clients from off-site networking activities
High level of interpersonal skills
Initiative in business development
Efficient time management & ability to multi-task
Entrepreneurial perspective and desire to grow the business
Consistent adherence to trained policies/regulations as required by Legacy Capital & Ameriprise Financial
Positive attitude and genuine willingness to learn and grow
Current client database to transition over is a plus (not required)
Education Minimums & Other Licensing/Designations
College degree or higher
3 years of similar experience (customer service/support & business processing)
CFP Designation Preferred, Not Required
Required: Federal and state registrations for securities, including SIE, Series 7, Series 66, State life, accident and health insurance license
Compensation Structure
Salary Performance Based Commission Incentives
Base salary range of $65k-70k, open to negotiation based on credentials
401(k) with company match
PTO tiers based on tenure, earn-in to travel stipend at year 6
Life and Long Term DI policies covered by employee
Medical/Dental subsidized coverage based on a case-by-case basis
At Ameriprise Financial, we’re not just in the business of helping clients with their financial goals – we also help our advisors and employees reach their true potential by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you’re motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial.
This position is with an Ameriprise Financial Franchise owner.
Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.
Base Pay Salary
The estimated base salary for this role is $65k-70k / year (open to negotiation based on credentials).
Full-Time/Part-Time
Full time
Step into an instrumental role. Help conduct the smooth operation of a fast-paced—and friendly—private wealth advisory practice of Ameriprise Financial. Assist in daily business operations.
Associate Financial Advisors work primarily with assigned clients to help them achieve their financial goals. The employing franchise owner will lead you as you hone your skills and build a base of clients to service through referrals and prospecting efforts. As an advisor, you will be instrumental in creating and delivering a unique client experience that defines and differentiates the practice. This position will consistently follow high standards of business and professional ethics and legal and regulatory requirements when dealing with others and/or performing work activities.
This role provides client relationship support through managing, gathering and analyzing client data, helping prepare financial plans, working with clients to resolve issues and ensure accurate business processing. The role will perform miscellaneous client service tasks as needed.
At Legacy Capital, we pride ourselves on fostering an environment for personal growth and passion. No role is ever set in stone. You will be given the opportunity to grow and expand your duties, including leadership of other team members/ departments should your interests and skillset take you in that direction.
Responsibilities and Time Allocation will change over time to meet the needs of the practice and can include other duties as assigned by the hiring advisor. Schedule is full-time, primarily in-office with flexibility to work remote on an agreed upon frequency. To be assessed after 90-day ramp-up & probationary period.
Position Functions
20% Prospecting and Client Acquisition
- Develop and implement monthly prospecting activities to meet client acquisition goals
Coordinate seminars/events to network
Leverage natural market to drive new leads
Learn and implement a repeatable client referral program
Use network marketing with Centers of Influence (accountants, attorneys) to drive referrals to our firm
25% Financial Planning and Advice
Identify clients to engage in formal planning relationships & manage the on-going up-keep of the plan
Prepare for client meetings focused on planning discussions
Positions Functions (continued)
Gather and enter client data into Financial Planning Software (MoneyGuidePro experience is helpful, but can be learned)
Create planning deliverable from the software
Perform case analysis and develop recommendations
Conduct client meetings to present recommendations and deliver advice
Track/hold clients accountable to agree upon actions
Answer questions and provide readily available information as requested by client base
25% Product Solutions
Assess client’s risk tolerance with available tools
Assess client’s goals and time frame
Recommend portfolio/robust product mix that will align with the client’s objectives
Runn illustrations and hypotheticals
Develop product deliverables as needed
Persuade clients to act upon suitable advice/recommendations
Execute appropriate trades for self-directed platforms and CRM task to our in-house traders for Discretionary Block trading accounts (APMA/Discretionary Certification required first)
Monitor economy, markets, and world events to speak intelligently in client meetings and identify strategic rebalancing needs
15% Business Management & Client Care
Business Management
Review work methods and procedures for possible quality improvements and implement when appropriate
Assign and delegate work to respective Operations support staff
Participate in weekly and semi-annual staff meetings
Act as a technical resource and provide training and support to other practice member
Client Care
Set up and maintain client management system via CRM
Adhere to client service model for appropriate meeting frequency
Write and deliver meeting recaps to participating clients
Same day response to all client inbound inquiries
Maintain files and records in accordance with our record retention policy
Key Traits For Success In The Role
Ability to source prospective clients from off-site networking activities
High level of interpersonal skills
Initiative in business development
Efficient time management & ability to multi-task
Entrepreneurial perspective and desire to grow the business
Consistent adherence to trained policies/regulations as required by Legacy Capital & Ameriprise Financial
Positive attitude and genuine willingness to learn and grow
Current client database to transition over is a plus (not required)
Education Minimums & Other Licensing/Designations
College degree or higher
3 years of similar experience (customer service/support & business processing)
CFP Designation Preferred, Not Required
Required: Federal and state registrations for securities, including SIE, Series 7, Series 66, State life, accident and health insurance license
Compensation Structure
Salary Performance Based Commission Incentives
Base salary range of $65k-70k, open to negotiation based on credentials
401(k) with company match
PTO tiers based on tenure, earn-in to travel stipend at year 6
Life and Long Term DI policies covered by employee
Medical/Dental subsidized coverage based on a case-by-case basis
At Ameriprise Financial, we’re not just in the business of helping clients with their financial goals – we also help our advisors and employees reach their true potential by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you’re motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial.
This position is with an Ameriprise Financial Franchise owner.
Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.
Base Pay Salary
The estimated base salary for this role is $65k-70k / year (open to negotiation based on credentials).
Full-Time/Part-Time
Full time
Salary : $65,000 - $70,000
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