Financial Advisor Assistant

Financial Advisor Assistant

Client Service & Operations / Compliance Focus
Independent, Single-Advisor Firm

Position Overview

The Financial Advisor Assistant plays a critical role in supporting a solo financial advisor by managing client service needs, daily operations, and compliance-related processes. This position is ideal for a highly organized, dependable professional who enjoys creating order, improving workflows, and delivering an exceptional client experience in a small, relationship-focused firm.

As the primary support person, this role requires strong attention to detail, discretion, and the ability to anticipate needs in a fast-paced, entrepreneurial environment.

Key Responsibilities

Client Service & Experience

• Act as the primary point of contact for routine client service requests
• Schedule and coordinate client meetings (in-person, virtual, phone)
• Prepare and send meeting agendas, reports, and follow-up summaries
• Assist with onboarding new clients, including paperwork, data collection, and account setup
• Track client requests and ensure timely follow-through
• Maintain a professional, warm, and responsive client experience

Operations & Compliance Support

• Process account paperwork including openings, transfers, updates, and maintenance
• Maintain accurate client records in CRM, custodial platforms, and document systems
• Track workflows, deadlines, and outstanding items
• Assist with compliance tasks such as documentation, archiving, and audit readiness
• Ensure firm procedures are followed consistently
• Coordinate with custodians, compliance vendors, and third-party providers as needed

Advisor Support & Firm Management

• Manage daily administrative tasks to free the advisor to focus on clients
• Organize advisor calendars, reminders, and task lists
• Assist with implementation and refinement of firm processes
• Help maintain firm organization, efficiency, and scalability
• Provide general administrative support as needed in a small-office environment

Qualifications & Skills

Required

• Exceptional organizational skills and attention to detail
• Strong written and verbal communication skills
• High level of professionalism and discretion with confidential information
• Ability to manage multiple priorities independently
• Strong client-service mindset and follow-through
• Proficiency with Microsoft Office or Google Workspace

Preferred-Not required

• Experience in financial services, wealth management, or an RIA environment
• Familiarity with CRM systems
• Experience with Y Charts & Morningstar investment research platform
• Understanding of compliance processes in an advisory firm

Ideal Personal Attributes

• Proactive and dependable — sees what needs to be done and does it
• Process-oriented and enjoys creating systems
• Comfortable working closely with a single advisor
• Calm, organized, and confident handling client interactions
• Takes ownership and pride in supporting a growing firm

What This Role Offers

• Direct partnership with a solo advisor
• Meaningful impact on client experience and firm operations
• Stable, long-term role with room to grow
• Competitive compensation based on experience+ pension eligible
• Opportunity to expand responsibilities as the firm grows

Pay Scale $25-$30 per hour

Job Type--Part Time Job 25-35 hours per week

Job Type: Part-time

Pay: $25.00 - $33.00 per hour

Benefits:

• Financial planning services
• Paid time off
• Paid training
• Professional development assistance
• Retirement plan

Work Location: In person