Senior Advisor Associate
Primary Focus: The Senior Advisor Associate is an experienced planning professional who supports the advisory team across increasingly complex client situations with growing independence. This role builds on foundational execution by taking on more sophisticated planning work, contributing directly to client-facing delivery, and beginning to develop the client communication skills required for independent relationship ownership at the AVP level. The Sr. Advisor Associate mentors Advisor Associates and contributes to the practice management discipline of the team.
Key Responsibilities
Relationship Management and Advice Delivery:
Support the advisory team across a range of client relationships, including increasingly complex planning situations, with growing independence
Prepare comprehensive meeting agendas, client-specific talking points, and multi-topic planning materials independently
Participate in client meetings, contributing to the delivery of financial planning content and supporting advisor-led discussions
Serve as a client contact on straightforward relationships, managing follow-through and communication under advisor oversight
Anticipate client needs based on prior meeting notes, life events, and planning timelines
Manage client follow-up within 24 hours of every interaction; track commitments through to completion
Coordinate with the service team to ensure accurate and timely delivery across all account-related activity
Planning and Investment Execution:
Build complete financial plan drafts across increasingly complex client situations with light advisor review
Apply planning principles across retirement, education, insurance, estate, and tax domains with fluency and growing judgment
Identify planning gaps, risks, and trade-offs in client situations; surface findings proactively to the advisor
Develop working knowledge of portfolio allocation logic, risk alignment, and model portfolio application
Maintain expert-level proficiency in eMoney, MoneyGuide Pro, Tamarac, and Salesforce
Contribute to practice management improvement by identifying inefficiencies and proposing solutions
Support technology adoption across the team; build proficiency in new tools as they are introduced
Compliance:
Fulfill fiduciary obligations in all client interactions; place client interests first in every recommendation and service decision
Adhere to firm policies, regulatory requirements, and custodial procedures; support team adherence to the same standards
Maintain required logs and supporting documentation for compliance purposes
Complete required compliance training and apply updated requirements to day-to-day work
Identify and escalate potential compliance concerns proactively
Cross-Functional Collaboration:
Work across the investment team, Client Service team, data operations, and compliance to support seamless client delivery
Coordinate with the Client Service Professional on documentation, workflow, and service team follow-through
Participate in firm-wide training and cross-functional initiatives; apply updated knowledge to planning and client work
Team Development:
Mentor Advisor Associates on technical planning skills, CRM practices, and professional standards
Act as a role model for work quality, reliability, and client service standards
Contribute to Advisor Associate development conversations and performance input
Share knowledge and best practices with peers to build team capability
Required Competencies
Technical Excellence:
Advanced financial planning knowledge across all core planning domains with the ability to explain rationale clearly
Expert proficiency with eMoney, MoneyGuide Pro, Tamarac, Salesforce, and custodial platforms
Ability to produce client-ready planning deliverables with minimal advisor revision
Sound judgment on increasingly complex planning matters; identifies gaps and flags risks proactively
Client and Team Orientation:
Strong verbal and written communication skills suited to a client-facing environment
Ability to participate meaningfully in client meetings and manage client follow-up independently
Proactive expectation management; adapts communication style to individual client preferences
Collaborative approach to working with the service team and across functional partners
Professional Development:
Mentorship capability: develops Advisor Associates through coaching and modeled behavior
Initiative in identifying practice management improvements and contributing to team efficiency
Consistent ownership of complex assignments from initiation through completion without prompting
Qualifications
Bachelor's degree or equivalent experience, preferably in finance, economics, or a related field
3–5 years of experience in financial services with demonstrated planning proficiency
Series 65 required
CFP® required for advancement to AVP; candidates actively enrolled and on track are eligible to advance
Expert proficiency with eMoney, MoneyGuide Pro, Tamarac, and Salesforce
Demonstrated ability to contribute to client-facing work and deliver planning materials independently