Associate Financial Consultant

Essential Functions

It is the responsibility of the Associate Financial Consultant to take ownership and be proactive in servicing existing and prospective client relationships. Must be well versed in all aspects of broker/dealer systems and technology, products, and services. Additional responsibilities include taking ownership of all tasks and challenges encountered in the operation of the assigned position and providing assistance to the financial consultant, maximizing sales results while minimizing their time spent on administrative and operational tasks.

Assist customers in all aspects of the conduct and servicing of their relationship, including broker/dealer technology, compliance, advisory alerts, investment products, services and solutions. Help the financial consultant increase sales and overall productivity by managing, coordinating, and maintaining appointment and referral opportunities and by providing assistance in scheduling appointments and follow‑up tickler systems.

Assist in the development of additional referrals through assigned banking partners and provide the necessary administrative and operational support to the financial consultant, including processing all necessary documentation, checks and other relevant paperwork. Work directly with clients to support the servicing of their relationships. Follow direction, within regulatory limits and based on FINRA licensure, from the financial consultant in receiving and processing orders with the broker/dealer on behalf of the client.

Developmental:
Take an existing book of investment business and grow assets under management, develop leads received from branch personnel, seek opportunities to increase knowledge, assume more responsibility, and strive to achieve goals. Complete assigned training within the designated time frame.

• Education:
  
  High School Diploma required, College Degree preferred.
• Experience:
  
  Three to five years previous investment services experience preferred.
• FINRA licences 6, 63, 65, 7 required.
• Must be highly organised, self‑starter, with excellent PC skills, including Word and Excel.
• Must possess the ability to identify, research and solve problems quickly and accurately, and interact professionally with co‑workers, broker/dealer staff, referral sources and customers.
• Must listen effectively, learn quickly, prioritise work, work with minimal supervision and shift swiftly to new tasks when priorities change.

Annual compliance training, New Employee Orientation, and continuing education classes on investments, insurance, and other financial services.

Must effectively access and interpret information on computer screens, documents, and reports. This position requires a large amount of time in front of a computer, which can be performed sitting or standing with the use of a suitable desk.

This position is in a private office. Telecommuting roles (hybrid or 100% full‑time) must have a secure home office environment free from background noise and distractions. A reliable private internet connection (cable or fibre preferred) is required, not cellular data hot‑spot. Requirements may change as new systems and technology are introduced.

Travel may be required to attend meetings as needed.

1632 E Silver Springs Blvd, Ocala, Florida 34470

Equal Opportunity Employer, including disabled, veterans.