Associate Financial Advisor

About the role

The Associate Financial Advisor supports a Financial Advisor team by developing new business, retaining existing client relationships, and acting as a community liaison. The role involves client service, portfolio reviews, securities transactions, and compliance with regulatory standards.

Key responsibilities

• Assist with personal goal setting, meet annual production guidelines, and maximize technology tools for reporting.
• Cultivate referrals from clients, retail offices, and community centers of influence.
• Complete financial profiles, analyze customer needs, and recommend suitable products and services.
• Conduct presentations, meetings, account reviews, and seminars; coordinate documentation and agreements.
• Monitor client accounts, conduct securities buying and selling, and review financial markets daily.
• Cross‑sell Northwest products, provide branch training, and recommend marketing initiatives.
• Ensure compliance with Northwest policies, FINRA/SEC regulations, and obtain required continuing education.

Required profile

• Bachelor’s degree (Finance preferred) with 2‑3 years relevant experience.
• Ability to build effective relationships, present ideas clearly, and make sound analytical decisions.
• Strong listening skills and ability to track work progress and use resources efficiently.

Required skills

• Series 7, Series 63, Series 65, or Series 66 licenses (state‑specific, upon hire).
• Knowledge of mutual funds, stocks, bonds, custodian accounts, IRAs, estates, fiduciary and ERISA regulations.
• Proficiency with Microsoft Office and department‑specific software tools.