Financial Planning and Investment Associate

Company Description

At A.T. Becker & Associates, Inc., we specialize in creating comprehensive financial plans to help clients navigate life’s financial challenges. Whether it’s minimizing taxes, funding college education, or planning for a secure retirement, we provide tailored solutions to meet diverse needs. We collaborate with Capital Analysts and Lincoln Investment, independent and renowned advisory firms, to deliver top-notch services. While we do not offer tax services through Lincoln Investment Companies, our expertise ensures a holistic approach to financial well-being.

Role Description

This is a full-time, on-site role for a Financial Planning and Investment Associate based in Scarsdale, NY. The Associate will assist with preparing financial plans, analyzing retirement and investment strategies, supporting estate planning needs, and providing exceptional communication to clients. This role also involves working closely with financial advisors to ensure client satisfaction and delivering tailored financial solution and supporting investment activities to help clients achieve their financial goals.

Responsibilities

• Prepare advisors for client and prospect meetings on an ongoing basis. Gather and prepare for use all necessary presentation and sales materials, Morningstar performance reports, and account applications
• Onboard new clients including the set-up of accounts, recurring money movements, online access, and the scheduling of the ongoing account review cycle
• Proactively work to ensure all advisor client follow-up and associated tasks are completed; create workflow in CRM system to track all outstanding follow-up tasks to be reviewed regularly with each advisor
• Maintain a high level of confidentiality and have a client-focused, helpful attitude
• Provides client services by monitoring clients most recent account information; setting-up accounts; processing buy/sell authorizations, deposits, and withdrawals; preparing documents; completing settlements; coordinating requirements with operations and back-office support
• Protects client and company interests by verifying processing compliance with internal and external guidelines; reviewing account security information; complying with federal, state, and foreign regulations; keeping information confidential
• Communicate with clients and provide "white glove" service throughout onboarding, funding, trading, and ongoing account maintenance, and resolve client inquiries by providing information and explanations.
• Execute buy and sell orders in Advisory and Brokerage accounts. Assist in account rebalancing as necessary and monitor investment accounts on an ongoing basis.
• Respond to home office account inquiries and act as liaison between the home office, financial representatives, and clients.
• Maintain an in-depth understanding of market conditions trends, and the overall economic outlook, and incorporate this into portfolio management and recommendations.
• Perform investment research and analysis to support portfolio decisions and recommendations and run performance reports in Morningstar.
• Assist with transfers, journals, rollover requests, distribution paperwork, cashiering and other asset movement requests, and troubleshooting money movement issues.

Qualifications

• 3-5 years of financial service or insurance industry experience required.
• Series 6 or 7 required.
• Experience with Netx360 / Pershing platform strongly preferred.
• Life, Accident, & Health Insurance license preferred.
• Proficiency in financial analysis software and tools such as Excel or Morningstar.
• Proficiency in financial planning and retirement planning.
• Strong analytical skills to assess complex financial data.
• Familiarity with financial regulations and compliance requirements.
• Certification or progress toward CFP®, CFA, or similar credentials is a plus.
• Excellent communication skills for client interactions and teamwork.
• Detail-oriented, organized, and capable of managing multiple tasks.
• Bachelor’s degree in Finance, Accounting, Economics, or a related field.

Compensation & Benefits

• Compensation commensurate with experience and qualifications
• Paid overtime opportunities
• Opportunities for professional growth and advancement
• Supportive, education-focused work environment

Work Location

• In person — Scarsdale, NY 10583
• No remote work available

Benefits

• Retirement plan
• Retirement plan matching
• Health insurance
• Dental insurance
• Vision insurance
• Paid sick time
• Paid time off

Due to financial services industry compliance and regulatory requirements, and the fact that you will be handling clients' assets and personal information, extreme accuracy and attention to details are required. You will be finger printed according to FINRA Requirements.