Broker Check

Practice Manager/Associate

Walnut Creek Office & Partial Remote

The position is the primary point of contact for clients with regard to on-boarding, operational, & servicing issues.  Associates have a good understanding of client planning issues & can step in to answer foundational questions regarding financial planning. Associates also maintain regular contact with clients.  Service Associates have the ability to problem solve in answering client service requests.

Responsibilities include:

  • Financial Planning & Client Relationship Management

    • Accurate Database Maintenance & Preparation of Financial Planning Reports 
    • Client Meeting Preparation
    • Client Communication & Meeting Scheduling
    • Meeting Followup Work
    • Financial Planning Data Entry 
    • Conduct New Client Orientation
    • Scanning & Filing as Necessary

  • Tax Work Organization

    • Sending Annual Tax Organizers
    • Gathering Tax Forms & Preparing Tax Review Items
    • Complete Tax Organizers from Notes (as necessary)

  • Service Operations & New Client On-Boarding

    • Managing Service Tickets
    • Creating & Updating Client Account Profiles
    • Preparing Account Paperwork 
    • Compliance & Supervision Submissions
    • Client Service Requests
    • Tracking Transfers
    • Keeping Compliant Files

The Ideal Candidate:

  • Minimum 5 years experience in the industry, preferably in an independent advisory office.

  • Proficient in Windows/PC environment including Outlook, Excel, Word, & who is comfortable learning new technology/computer programs.

  • Excellent people & interpersonal skills, who likes working in a team environment.

  • Highly organized & detail oriented.

  • Series 6 or 7 FINRA license preferred. (the right candidate could also be sponsored for these programs) 

  • Registered Paraplanner or Certified Wealth Strategist designation a plus. (the right candidate could also be sponsored for these programs)

  • Experience working in eMoney, Redtail, B/D Intranet environments also helpful.

Compensation package dependent on experience. Health & Retirement benefits eligible. Ability to transition to partial remote work.

Please send covernote & resume to