Associate Financial Advisor

Job Description

Job Description

Coy Capital Management, Inc./SW Coy Financial is seeking a highly organized and motivated Financial Advisor Associate to join our team and contribute to our continued growth. In this role, you will play a key part in supporting new client onboarding, managing financial documentation, maintaining client relationships, and coordinating client reviews and follow-ups. You will also assist in preparing financial plans and are expected to have a strong understanding of the industry, our products, and our company. The ideal candidate should be detail-oriented, organized, and have strong communication skills to ensure the smooth functioning of daily financial advisor operations.

Administrative Tasks

• Handle day-to-day administrative functions, including managing calendars, emails, and calls for the CEO
• Process and track paperwork related to client investments, transfers, and other financial transactions
• Ensure compliance with regulatory requirements by maintaining accurate records

Coordination and Communication

• Communicate with other employees in areas such as compliance, operations, and client services to facilitate the execution of client requests
• Keep clients informed of changes, updates, and important deadlines related to their accounts

New Client Onboarding and Financial Documentation

• Ensures accurate completion of prospect or new client paperwork and account set up
• Follow up on funds transfer from other financial institutions
• Input and maintain data in financial planning software and CRM systems
• Organize clients’ financial documentation

Client Relationship Management

• Dialogues with client to understand their personal history and current financial needs
• Prepares account transactions, trades, deposits, withdrawals, RMDs, etc.
• Communicates to understand client requests, determines what needs to be done; communicates to the CEO or handles issue resolution
• May work with client’s tax or legal counsel on overall client financial and estate plans

Client Reviews and Follow Up

• Gather client data, prepare reviews, and maintain accurate account, beneficiary information & RMD tracking
• Schedule reviews and submit the review to the CEO for final review
• Post review-tasks; update account information, follow-up on paperwork, and record notes in CRM

Financial Plan Support

• Assist in developing financial plans and portfolios under the supervision of the CEO.
• Provide summary of client’s personal info, financial position, and asset allocation
• Assist in the creation of reports/analyses
• Finalize plan for delivery
• Rebalance accounts and process trade orders

Industry / Product / Company Knowledge

• Demonstrates knowledge and can accurately execute against Coy Capital’s Suitability Guidelines, operational processes and sales model
• Understands financial terminology and products
• Series 65/66 preferred
• PA insurance license

Education/Qualifications

• Bachelor’s degree (or equivalent experience) in finance or related field
• 2 or more years’ experience in financial services
• Exposure to investment platform
• Solid communication skills (verbal & written; ability to proofread)
• Ability to organize and prioritize work to meet deadlines
• Attention to detail and ability to handle confidential information.
• Good analytical and problem-solving skills
• Able to work well with all levels of employees
• High ethical standards
• Understanding of financial planning concepts and terminology
• Ability to work independently and as part of a team
• Comfortable managing multiple tasks and priorities in a fast-paced environment
• Willingness to learn and grow within the financial services industry
• Strong proficiency in Microsoft Office Suite (Excel, Word, PowerPoint) and familiarity with financial software and CRM systems

Compensation & Benefits:

• Competitive salary based on experience
• Competitive bonus structure and grid payout
• Health benefits
• Paid time off and retirement plan options
• Opportunities for professional development and certification support