Associate Financial Advisor – New York

About the role

The Associate Financial Advisor will help clients identify their financial needs, set investment objectives, and implement suitable investment and insurance solutions. Working closely with branch leadership and senior investment professionals, the role focuses on building and deepening client relationships while meeting sales and revenue targets.

Key responsibilities

• Attain and exceed investment sales, revenue, and client engagement goals as defined by management.
• Conduct client appointments in‑person, virtually, or by phone to assess needs and recommend appropriate solutions.
• Manage and grow an assigned portfolio of clients, strengthening relationships and uncovering additional opportunities.
• Maintain compliance with all applicable bank, broker/dealer, FINRA, state, and federal regulations.
• Collaborate with Branch Managers, Field Advisors, and Licensed Bank Employees to generate referrals and support branch investment growth.
• Provide coaching, education, and product awareness support to branch partners.
• Participate in sales meetings, training programs, coaching sessions, and development initiatives.
• Develop and execute business‑development activities aligned with acquisition strategies.
• Maintain accurate client records, complete operational requirements, and provide timely activity and sales reporting.
• Maintain required professional licenses, registrations, continuing education, and regulatory training.

Required profile

• Ability to achieve sales, revenue, and client‑engagement targets.
• Strong client‑facing skills to conduct appointments across multiple channels.
• Commitment to maintaining compliance with banking and securities regulations.
• Possession of required professional licenses and registrations.
• Collaborative mindset to work with branch leadership and licensed bank employees.

Required skills