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The Associate Wealth Advisor will assist in the financial planning process and provide crucial client relationship support. This position will work independently and may work with other Wealth Advisor(s) as part of a mentorship program.
Please note: This is a hybrid sales role. Mentorship from Wealth Advisor(s) and self-paced learning are designed to prepare those in this role for advancement to become a Wealth Advisor.
This role utilizes technology from Simmons’ third-party broker dealer, a leader in the financial services industry, and product wholesalers to service Wealth Advisors’ clients. This position is eligible for a base salary and performance-based compensation.
Essential Duties and Responsibilities
Acts in the best interest of the client to impact a client’s financial future and help them meet their goals.
Develops and maintains an increasing client base by using well-developed market knowledge, strategies, and sales skills.
Maintains product knowledge and stays current of market activity and news affecting the markets.
Ensures that all departmental documents and activities are performed in compliance with applicable laws, regulations, policies, and Simmons Investment Services & LPL written procedures related to the securities industry, including completion of required compliance training.
Performs administrative duties and responsibilities as assigned.
Collaboration with Senior Advisors to adopt best practices.
Prepare analysis, presentation materials, financial plans, and other tasks for business development and client meetings.
Research appropriate investments products based on suitability for clients.
Qualifications
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required.
Language Skills
Ability to read and interpret legal documents and procedure manuals, and be able to read, interpret and write financial reports and correspondence.
Ability to effectively present information and respond to questions from groups of managers, clients, customers, and the public.
Education and/or Experience
BS/BA Degree four-year from an accredited university/college preferred.
Three+ years of relevant work experience in investment services or combination of education and work experience in financial services preferred.
Computer Skills
Proficiency in Microsoft Office & cloud environments preferred.
Financial Planning software optional.
Certificates, Licenses, Registrations
FINRA Securities Industry Essentials® (SIE®), Series 7, Series 63 & 65 or Series 66.
Life/VA/Health Insurance license.
CERTIFIED FINANCIAL PLANNER™ (CFP®) optional.
Other
General knowledge of financial planning, products, processes, and technology required.
Build and foster collaborative relationships.
Professional verbal and written communication skills.
Must display professional conduct and appearance.
Must have efficient time management and organizational skills to manage multiple priorities.
Strong analytical and problem-solving skills.
Review documents for accuracy, completeness, and compliance with regulation and policy.
Please note this job description is not designed to cover or contain a comprehensive listing of all responsibilities that are required of the employee for this job. Activities, duties, and responsibilities may change at any time with or without notice.
Equal Employment Opportunity Information: Simmons First National Corporation and its subsidiaries are committed to a policy of equal employment with respect to a person's race, color, religion, sex, ancestry, sexual orientation, gender identity, national origin, covered veterans, military status, physical or mental disability or any other legally protected classifications. Simmons First National Corporation and its subsidiaries are committed to Affirmative Action Programs consisting of results-oriented procedures to ensure equal employment opportunities. These programs require positive action in lieu of neutral non-discrimination and merit hiring/performance policies.