Advisor Support Specialist

Position Title:

Advisor Support Specialist Role Overview

The Advisor Support Specialist is the dedicated operational partner to a Financial Advisor, responsible for the seamless execution of the Advisor’s daily practice and the elevation of their clients' experience. This role serves as the central hub between the Advisor, the custodial platforms, and the client base. The ideal candidate possesses a "systems-first" mindset, ensuring that all administrative actions are performed with high technical accuracy and proactive ownership, allowing the Advisor to focus on financial planning and relationship management.

• Workflow Execution: Take full accountability for the end-to-end lifecycle of the Advisor’s specific client workflows, ensuring all tasks—from onboarding to annual reviews—are tracked and completed with precision.
• SOP Adherence: Execute tasks in strict alignment with the firm’s Standard Operating Procedures (SOPs), ensuring the Advisor’s practice operates with consistency and scalability.
• Data Integrity: Maintain meticulous digital records and client profiles within the firm’s systems to ensure the Advisor’s book of business meets all regulatory recordkeeping requirements.

• Documentation Management: Prepare, audit, and process account applications and service agreements for the Advisor’s clients, ensuring 100% accuracy in data entry and signature requirements.
• Asset Movement Coordination: Oversee the transfer of assets, rollovers, and distributions, serving as the primary liaison with custodians to resolve any "Not In Good Order" (NIGO) issues independently.
• Secure Information Handling: Manage the collection and transmission of sensitive client data using firm-approved security protocols to protect client privacy and PII.

• Strategic Readiness: Proactively prepare comprehensive meeting kits for the Advisor, including financial reports, agendas, and required compliance disclosures, ensuring the Advisor is fully briefed 48 hours prior to engagements.
• Post-Meeting Execution: Independently document meeting outcomes, update internal tracking systems, and ensure all follow-up action items are completed within established timelines.
• Communication Management: Manage the Advisor’s professional correspondence and scheduling, acting as a proactive filter to ensure client inquiries are addressed promptly.

• Primary Service Contact: Act as the dedicated point of contact for the Advisor’s clients regarding administrative and service-related inquiries, providing a high-touch, "concierge" experience.
• Proactive Engagement: Monitor the Advisor’s client base for upcoming service needs, birthdays, or required distributions to ensure a proactive rather than reactive service model.

• Regulatory Alignment: Perform all duties in accordance with SEC rules and the firm’s Compliance Manual, acting as a first line of defense for the Advisor’s regulatory adherence.
• Fiduciary Standard: Exercise the highest level of discretion and professional ethics when handling confidential financial data and sensitive client situations.

• Experience: Relevant experience in client service, operations, or administrative support roles, preferably within financial services or a professional services setting.
• Technical Aptitude: Demonstrated ability to master integrated digital systems and maintain organized, paperless workflows.
• Proactive Ownership: A mindset focused on "seeing around corners" to anticipate the needs of the Advisor and the client before they arise.
• Communication: Exceptional verbal and written communication skills, with the ability to explain administrative processes clearly and professionally.