COMPANY OVERVIEW

Careers

Are you driven to give your all for your team?

At Financial Advocates we support hundreds of independent financial advisors striving every day to do what is best for their clients.  By focusing on doing our best for them, we empower them to be their best.  Together we are better.

If you are a go-getter who enjoys working in a highly collaborative team-environment, we invite you to explore our open positions.

Current Opportunities

Senior Investment Sales Representative - Renton, WA & Snohomish County

As an Investment Sales Representative you will become a part of a multi-branch Financial Institution with significant assets and opportunities for growth.

The Senior Investment Representative will be the primary contact with the investment clients, which includes maintaining ongoing relationships and while developing new ones. We are looking for an advisor with a broad and thorough understanding of wealth management practices and investment strategies along with extensive experience and expertise.

Essential Duties and Responsibilities

  • Ability to establish customer investment objectives including risk tolerance, asset allocation and cash requirements
  • Ability to discuss investment performance, economic and market trends
  • Extensive communication with clients and prospects
  • Client meeting planning, facilitation and presentation
  • Direct consultation with attorneys, accountants and other advisors on financial, tax and estate planning.
  • Implementation of investment plans
  • Manage investment transition for new clients
  • Develops leads and referrals from current clients and outside contacts
  • Evaluate large holdings for performance relative to the overall portfolio and plan strategies for diversification
  • Present alternative investment ideas to clients
  • Monitor asset allocation on a quarterly basis relative to policy and goals; evaluates need to rebalance
  • Reviews portfolio issues (i.e. taxes, liquidity events, capital calls, etc.) quarterly
  • Presentations to clients on financial opportunities
  • Develops an investment policy statement (IPS) with each client based on their goals, objectives and risk tolerance. Annually reviews IPS with client.
  • Translate investment policy to individual investment objectives
  • Seek to increase current accounts through additions to AUM
  • Offer value-added fee-based services
  • Participate in sales meetings with prospective clients
  • Maintain the utmost discretion in working with sensitive and confidential information
  • Maintain compliance with all other banking regulations and Bank policies, as they relate to the primary duties and responsibilities outlined herein.
  • Successful completion of required compliance related training within prescribed timelines.
  • Other duties as assigned

Functional/Technical Skills

  • Capacity to work with demanding clients and diverse groups of people
  • Excellent strategic thinking ability
  • Excellent consultative skills
  • Team player
  • Client-centered focus
  • Strong written and verbal communication skills
  • Self-confidence, personal integrity, credibility
  • Skilled at analyzing and solving problems
  • Results driven

Experience

  • At least 5 years’ experience related experience
  • Financial planning experience a plus

Education

  • Series 6, 7, 65 and/or 66 licenses
  • Bachelor’s degree or equivalent in related field (Investments, Finance, Law, Accounting/Tax, Economics, Business Administration) and/or 5 years’ of related experience; or an equivalent combination of education and experience.

If this sounds like a position in which you would excel, please send us your resume (attached as a Word Document) with a cover email to the attention of Daley at careers @financialadvocates.com — please do not attach your cover letter as a Word Document to the email. Also, please use your last name somewhere in your resume’s file name.

Please be aware that we will initially be responding to your submission by email, so please watch for an email from Financial Advocates. We look forward to hearing from you!

Office Assistant - Port Angeles, WA

Full-time Manager/Assistant needed for established and growing financial advisor practice. We are looking for an organized self-starter who has good attention to detail, a positive outlook and strong work ethic.

Essential Duties and Responsibilities:

  • Overall client communication & coordination
  • Maintaining client service schedule
  • Developing & documenting client communication
  • Preparing forms & other information for client service meetings
  • Following up with clients for data & forms
  • Submitting & tracking paperwork to our home office
  • Quick & accurate data entry
  • Maintaining CRM system
  • Uses CRM to document & manage action items
  • Assisting with marketing efforts
  • Additional duties & responsibilities as assigned

Competencies:

  • Effective time management
  • Ability to handle multiple priorities
  • Ability to focus amidst distractions
  • Strong organizational skills
  • Strict attention to detail
  • Must have low error margin
  • Be conscious of integrity, adaptability and display a service orientation with every task
  • Must be able to express themselves effectively both in writing and verbally and present a professional demeanor and appearance.
  • Be able to work well within a team and communicate efficiently with clients & coworkers
  • Although you will receive hands-on support & training, you’ll also need to maintain your own understanding and self-educate on the company intranet and review content, locate resources & apprise yourself of new procedures and policies on an on-going basis.
  • Must be friendly, well spoken & self-motivated

Education and/or Experience:

2 years’ office and/or industry experience, and any securities licenses are desired but not required

Computer Skills:

Need a better-than-basic knowledge of everything Microsoft Office. Extensive knowledge of Microsoft Excel is absolutely necessary. Proficient typing skills mandatory as well.

Salary:

Depending on qualifications

If this sounds like a position in which you would excel, please send us your resume (attached as a Word Document) with a cover email to the attention of Forma at careers @financialadvocates.com — please do not attach your cover letter as a Word Document to the email. Also, please use your last name somewhere in your resume’s file name

Please be aware that we will initially be responding to your submission by email, so please watch for an email from Financial Advocates. We look forward to hearing from you!

RIA Compliance & Operations Manager - Olympia, WA / Portland, OR

Job Title: RIA Compliance & Operations Manager

Reports To: RIA Chief Compliance Officer

Location: Olympia, WA or Portland, OR

Prepared Date: May 2018

Financial Advocates serves as a financial advisor’s primary ally through the transition, growth, and ongoing management of an independent practice. Since 1996, we have been providing advice and support to advisors working independently and within financial institutions—people dedicated to their professions and to meeting the needs of their clients.

The RIA Compliance and Operations Manager plays an integral part in the firm’s efforts to maintain compliance with applicable federal and state regulatory requirements across various aspects of its business operations. The RIA Compliance and Operations Manager will assist the Chief Compliance Officer in the day-to-day administration of the firm’s investment adviser compliance program. The role will also support other operational functions of the firm.

Essential Duties and Responsibilities:

The primary responsibilities of this role include, but are not limited to, the following:

  • Assist the CCO in the administration of the compliance program
  • Participate in the annual review of compliance policies and procedures
  • Create, update and implement written compliance policies and procedures
  • Review and approve marketing material
  • Provide training and guidance to employees and investment adviser representatives
  • Assist in the maintenance of Form ADV and other regulatory reports and documents
  • Conduct periodic office inspections, surveillance, reviews and other testing activities
  • Assist in the development and delivery of the annual compliance meeting
  • Assist in responding to inquiries and examinations by regulatory agencies
  • Review of systems to detect potential regulatory breaches and manipulation
  • Research, and maintain current knowledge of, applicable laws, regulations and rules
  • Support other operational functions of the firm, including, but not limited to, quarterly billing, adviser transitions, due diligence of third party service providers, liaise with custodians, etc
  • Other responsibilities and projects as assigned

Qualifications & Competencies:

  • Strong understanding of the Investment Advisers Act of 1940 and related regulations
  • Client service mentality and professional demeanor
  • Results-oriented approach to work
  • Strong interpersonal skills with ability to establish rapport and trust
  • Excellent verbal and written communication skills
  • Detailed-oriented with strong decision-making and analytical skills
  • Ability to exercise balanced, thoughtful judgement
  • Advanced organizational skills and ability to manage multiple projects simultaneously
  • Ability to travel occasionally to conduct office inspections

Education and/or Experience:

  • Approximately 4-6 years of compliance experience with an SEC registered investment adviser
  • Bachelor degree
  • Series 65 or 66

If this sounds like a position in which you would excel, please send us your resume (attached as a Word Document) with a cover email to the attention of Donny at careers @ financialadvocates.com — please do not attach your cover letter as a Word Document to the email. Also, please use your last name somewhere in your resume’s file name.

Please be aware that we will initially be responding to your submission by email, so please watch for an email from Financial Advocates. We look forward to hearing from you!

Senior Client Service Associate - Olympia, WA

Essential Duties and Responsibilities:

This position is responsible for any and all assigned tasks in a variety of fields including but not limited to:

  • Assistant Services
    • Opening & Maintaining client accounts
    • Accepting & placing client trade instructions
    • Networking Direct Business accounts & entering Branch Trade Reports
    • Entering requests through Move Money Tool & monitoring through completion
    • Research & Resolve items logged not in good order
    • Client Meeting Preparation & Review
    • Calls & Scheduling
    • Audit Preparation
    • Email Newsletters
    • Social Media Posting
    • Spreadsheet/Form Creation & Maintenance
    • Bookkeeping
    • Customer Support
    • Phone Call Forwarding
    • Filling in for advisor and/or staff while out of the office
    • Assisting in special projects
  • Transition Services
    • Moving & Transferring of client accounts
    • Paperwork Processing
    • Training on network platforms
  • Recruiting Services
    • Job Description Creation
    • Processing through Market Regulatory Review
    • Posting to Job Boards
    • Pre-Screen Applicants
  • Para planning Services
    • Data Entry
    • Creation of Financial Plan & Reports
    • Coaching for Advisors & Joint Appointments with clients in a consultant capacity

 

Competencies:

To perform the job successfully, an individual should demonstrate the following competencies:

  • Identifies and resolves problems in a timely manner
  • Gathers and analyzes information skillfully
  • Responds promptly to customer needs
  • Meets commitments and maintains confidentiality
  • Participates in meetings
  • Balances time & responsibilities
  • Contributes to building a positive team spirit
  • Exhibits sound and accurate judgment and uses time efficiently
  • Reacts well under pressure and accepts responsibility for own actions
  • Follows through on commitments and monitors own work to ensure quality
  • Demonstrates accuracy and thoroughness
  • Observes safety and security procedures
  • Completes tasks on time or notifies appropriate person with an alternate plan

Qualifications:

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Education and/or Experience:

Bachelor’s Degree (B.A.) from four-year College or technical school; or six months to one year related experience and/or training, or equivalent combination of education and experience. Knowledge of investments, insurance, trust, bank products, and financial planning.

Language Skills:

To perform this job successfully, an individual must demonstrate the following language skills:

  • Ability to read and comprehend instructions, correspondence, and memos
  • Ability to write correspondence
  • Ability to effectively present information in one-on-one and small group situations to customers, clients, and other employees of the organization.

Reasoning Ability:

  • Ability to solve practical problems and deal with a variety of variables in situations where only limited standardization exists.
  • Ability to interpret a variety of instructions furnished in written, oral, diagram, or schedule form.

Computer Skills:

To perform this job successfully, an individual should have knowledge of the following:

  • Database software
  • Internet software
  • Spreadsheet software
  • Word Processing software

Licenses and Certifications:

  • Series 7
  • Series 63
  • Insurance License preferred

 

If this sounds like a position in which you would excel, please send us your resume (attached as a Word Document) with a cover email to the attention of Victoria to careers @ financialadvocates dot com — please do not attach your cover letter as a Word Document to the email. Also, please use your last name somewhere in your resume’s file name.

Please be aware that we will initially be responding to your submission by email, so please watch for an email from financialadvocates dot com. We look forward to hearing from you!

Client Service Associate - Olympia, WA

Essential Duties and Responsibilities: This position is responsible for any and all assigned tasks in a variety of fields including but not limited to:

  • Assistant Services
    • Opening & Maintaining client accounts
    • Accepting & placing client trade instructions
    • Networking Direct Business accounts & entering Branch Trade Reports
    • Entering requests through Move Money Tool & monitoring through completion
    • Research & Resolve items logged not in good order
    • Client Meeting Preparation & Review
    • Calls & Scheduling
    • Audit Preparation
    • Email Newsletters
    • Social Media Posting
    • Spreadsheet/Form Creation & Maintenance
    • Bookkeeping
    • Customer Support
    • Phone Call Forwarding
    • Filling in for advisor and/or staff while out of the office
    • Assisting in special projects
  • Transition Services
    • Moving & Transferring of client accounts
    • Paperwork Processing
    • Training on network platforms
  • Recruiting Services
    • Job Description Creation
    • Processing through Market Regulatory Review
    • Posting to Job Boards
    • Pre-Screen Applicants
  • Para planning Services
    • Data Entry
    • Creation of Financial Plan & Reports
    • Coaching for Advisors & Joint Appointments with clients in a consultant capacity

  Competencies: To perform the job successfully, an individual should demonstrate the following competencies:

  • Identifies and resolves problems in a timely manner
  • Gathers and analyzes information skillfully
  • Responds promptly to customer needs
  • Meets commitments and maintains confidentiality
  • Participates in meetings
  • Balances time & responsibilities
  • Contributes to building a positive team spirit
  • Exhibits sound and accurate judgment and uses time efficiently
  • Reacts well under pressure and accepts responsibility for own actions
  • Follows through on commitments and monitors own work to ensure quality
  • Demonstrates accuracy and thoroughness
  • Observes safety and security procedures
  • Completes tasks on time or notifies appropriate person with an alternate plan

Qualifications: To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Education and/or Experience: Bachelor’s Degree (B.A.) from four-year College or technical school; or six months to one year related experience and/or training, or equivalent combination of education and experience. Knowledge of investments, insurance, trust, bank products, and financial planning. Language Skills: To perform this job successfully, an individual must demonstrate the following language skills:

  • Ability to read and comprehend instructions, correspondence, and memos
  • Ability to write correspondence
  • Ability to effectively present information in one-on-one and small group situations to customers, clients, and other employees of the organization.

Reasoning Ability:

  • Ability to solve practical problems and deal with a variety of variables in situations where only limited standardization exists.
  • Ability to interpret a variety of instructions furnished in written, oral, diagram, or schedule form.

Computer Skills: To perform this job successfully, an individual should have knowledge of the following:

  • Database software
  • Internet software
  • Spreadsheet software
  • Word Processing software

Licenses and Certifications:

  • Series 7
  • Series 63
  • Insurance License preferred

If this sounds like a position in which you would excel, please send us your resume (attached as a Word Document) with a cover email to the attention of Victoria to careers @ financialadvocates dot com — please do not attach your cover letter as a Word Document to the email. Also, please use your last name somewhere in your resume’s file name. Please be aware that we will initially be responding to your submission by email, so please watch for an email from financialadvocates dot com. We look forward to hearing from you!

Office Manager / Assistant to Financial Advisor - Port Angeles, WA

Full-time Manager/Assistant needed for established and growing financial advisor practice. We are looking for an organized self-starter who has good attention to detail, a positive outlook and strong work ethic.

Essential Duties and Responsibilities:

  • Overall client communication & coordination
  • Maintaining client service schedule
  • Developing & documenting client communication
  • Preparing forms & other information for client service meetings
  • Following up with clients for data & forms
  • Submitting & tracking paperwork to our home office
  • Quick & accurate data entry
  • Maintaining CRM system
  • Uses CRM to document & manage action items
  • Assisting with marketing efforts
  • Additional duties & responsibilities as assigned

Competencies:

  • Effective time management
  • Ability to handle multiple priorities
  • Ability to focus amidst distractions
  • Strong organizational skills
  • Strict attention to detail
  • Must have low error margin
  • Be conscious of integrity, adaptability and display a service orientation with every task
  • Must be able to express themselves effectively both in writing and verbally and present a professional demeanor and appearance.
  • Be able to work well within a team and communicate efficiently with clients & coworkers
  • Although you will receive hands-on support & training, you’ll also need to maintain your own understanding and self-educate on the company intranet and review content, locate resources & apprise yourself of new procedures and policies on an on-going basis.
  • Must be friendly, well spoken & self-motivated

Education and/or Experience:

2 years’ office and/or industry experience, and any securities licenses are desired but not required

Computer Skills:

Need a better-than-basic knowledge of everything Microsoft Office. Extensive knowledge of Microsoft Excel is absolutely necessary. Proficient typing skills mandatory as well.

Salary:

Depending on qualifications

If this sounds like a position in which you would excel, please send us your resume (attached as a Word Document) with a cover email to the attention of Forma at careers @financialadvocates.com — please do not attach your cover letter as a Word Document to the email. Also, please use your last name somewhere in your resume’s file name

Please be aware that we will initially be responding to your submission by email, so please watch for an email from Financial Advocates. We look forward to hearing from you!

Are you for a career with Financial Advocates?

Don’t forget to place your cover letter and resume in the body of the email, not as an attachment.

 

HEADQUARTERS
1601 Cooper Point Road NW
Olympia, Washington 98502
BUSINESS DEVELOPMENT OFFICE
917 Pacific Avenue, Suite 407
Tacoma, Washington 98402

The investment professionals associated with this site are registered representatives of LPL Financial. Securities offered through LPL Financial, Member FINRA/SIPC. Financial Planning and Investment advice offered through Financial Advocates Investment Management, a registered investment advisor. Financial Advocates Investment Management and Financial Advocates are separate entities from LPL Financial.

The representative(s) associated with this site may discuss and/or transact business with residents of all fifty states.

Investments are:

Not FDIC InsuredNote Bank GuaranteedMay Lose ValueNot Insured by any Federal Government Agency Not a Bank DepositNot NCUA InsuredNot Credit Union GuaranteedMay Lose Value

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