July 21, 2021
Job Type
Work Hours
Street Address
500 Linden Oaks Suite 140
Rochester, NY


AP has partnered with a Wealth Management firm in Penfield to secure a CLAS with a minimum of 4-8 yrs previous experience.  This position is full time and DIRECT HIRE with hours of 8:30-5 Monday through Friday.  Pay is $50-60K


  • This position is responsible for providing administrative and technical support to the advisor and works closely with clients to ensure requests are answered in the appropriate time frame.

Advisor Support

  • Anticipate advisor needs and handle them proactively.
  • Meet with advisors regularly to assist with their outstanding action items.
  • Provide advisors with weekly updates.
  • Conduct research as directed by the advisor.
  • Regularly review broker-dealer news items, technology updates, and e-mail communications; report pertinent information back to advisor.

Account Responsibilities

  • Prepare and complete all paperwork correctly and submit within specified timeframe.
  • Develop a process that tracks all paperwork including outstanding items and pending business.
  • Maintain up-to-date organized electronic client files, including copies of all signed applications and forms, according to compliance requirements.
  • Upload client statements, correspondence, and agreements completely within five business days.
  • Place trades through at advisor’s direction, if licensed.
  • Rebalance client portfolios based on advisor’s criteria using appropriate tools (e.g., Model Management).
  • Follow up on outstanding transactions with broker-dealer and outside accounts (e.g., transfers).
  • Maintain appropriate turnaround time on incoming items (e.g., 24 hours for checks).
  • Maintain client cost basis information.
  • Use broker-dealer services and online trading (if licensed), efficiently.

Client Service

  • Use excellent customer service skills to build client relationships.
  • Answer phone and handle all client service issues within capacity.
  • Work with clients to complete paperwork; ensure all required forms are completed fully and accurately.
  • Respond to client questions and concerns professionally and in a timely manner.


  • BA or BS in business


  • FINRA Series 7 and 63 securities registrations (preferred)
  • Experience in the financial services industry (preferred); experience working with National Financial Services processes and forms a plus.
  • Good understanding of financial planning concepts and terminology.
  • Knowledge of mutual fund, stock, bond, insurance, and annuity products.
  • Exposure to estate planning issues.

Knowledge, Skills, Abilities, and Other Characteristics

  • Proficiency with computer programs, including MS Word and Excel, CRM, Wealthscape℠, and Morningstar®.
  • Exceptional customer service experience.
  • Ability to interact with people across all levels of the business.
  • Ability to effectively prioritize workload and meet deadlines.
  • Ability to maintain attention to detail while under pressure, as well as to view details in the overall context of the circumstances.
  • Strong organizational skills.
  • Proofreading (or quality assurance) skills to ensure that own work is in accordance with advisor or Commonwealth criteria.
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