Candidates – M3 Placement & Partnership

Associate Advisor - Strategic Retirement Plans

Job Title
Associate Advisor - Strategic Retirement Plans
Job ID
Utica,  NY
Other Location
POSITION: Associate Advisor - Strategic Retirement Plans

TYPE: Full time, Salary 

LOCATION: Utica, NY or Syracuse, NY

SUMMARY: Are you passionate about helping people achieve their financial goals? Do you enjoy working with people who share your commitment to quality, excellence, and professional growth? Our client, Strategic Financial Services, is looking for motivated professionals who have an interest in a career in financial services and 2-3 years of demonstrated success in a professional environment. The team is growing and investing in new members who will play a critical role in client and advisory activities. There is tremendous opportunity for growth in this role, along with competitive compensation, benefits, and PTO. The company was recently named the #1 Place to Work for Financial Advisers by InvestmentNews.

  • Primary focus is supporting day-to-day management of existing client relationships.
  • Schedules, prepares for, and attends client and participant meetings with Diamond Team.
  • Coordinates and helps shape the client service experience for clients.
  • Maintain client meeting schedules based upon pre-established service standards (plan reviews and education).
  • Draft meeting summaries, records meeting take-aways, and manage follow up actions for their Diamond Team.
  • Coordinates plan administration tasks with external partners (TPAs, CPAs, Recordkeepers, etc.)
  • Escalate as needed participant and sponsor issues to the plan's Senior or Lead advisor.
  • Subject matter expert on recordkeeper systems (both participant and sponsor perspectives)
  • Assist with plan onboarding, conversions, administration, and general follow-up.
  • Provide participant education/enrollment materials for individuals and groups.
  • Identify clients/participants wanting further investment services or financial planning.
  • Serve as referral source to Wealth Management (governed by fiduciary prudence).
  • Develop ability to manage relationships and progress to a Lead Advisor by gradually taking on new and existing client relationships with a primary service responsibility.
  • Partner with other team members, including other ‘centers of excellence’ in a manner that is respectful and strives for optimal efficiency, productivity, and client satisfaction.
  • Execute internally and externally in a manner that is consistent with the goals of the organization.
  • Assist with special projects, as needed.
  • Assist and have solid knowledge of EOS Process Component model.
  • Bachelor's degree, industry specific or other technical training.
  • FINRA Series 65: required within the first 12 months.
  • If no related experience an industry credential will be required within 18 months:​​​​​​
  •  ARPS, ARPC, C(K)P, QKA, CPFA, CRPS, CRPC, AIF, QKA, CFP or similar approved
  • 0 – 3 + Years of professional work experience (Financial Services, Investments, Retirement Plan Administration, Insurance, Payroll Processing or Employee Benefits).
  • 1 – 5 Years related Retirement Plan work experience preferred.
  • Additional client facing or account management work experience considered.
  • Continuously exhibits personal integrity and professional initiative.
  • Reliable, follows through on commitments, embraces new challenges.
  • Possesses a passion and energy to help new and existing clients.
  • Must be detail-oriented and able to multi-task.
  • Demonstrated commitment to accuracy and delivering high quality work.
  • Excellent written and verbal communication skills.
  • Collaborative and able to work effectively with others.
  • Flexible team player who is highly adaptive to change and open to new ideas. 
  • Ability to work successfully in an entrepreneurial, small company environment.


Operational – Gain or have proficient use or knowledge of:

  • CRM (Salesforce) and (Envestnet or similar retirement plan CRM).
  • Project Management (Asana, SharePoint, Excel, PowerPoint).
  • Knowledge of industry recordkeeping and administration service providers. 
  • Retirement Plans – Detailed knowledge of key plan considerations.
  • Investments – awareness to: (securities and vehicles like MF, SA, CIT, ETFs).
  • Working knowledge of participant education needs and basic financial planning.
  • Financial market awareness to how market conditions impact participants and sponsors.
  • Industry – detailed knowledge of key trends impacting plans, participant behavior, technological innovations, and competition.
  • Demonstrated ability to listen, to ask questions, to resolve conflicts, and to identify opportunities while problem solving.

In addition to working with a team of highly competent professionals in a growing firm, benefits include:

  • Opportunity to make an impact on client’s lifelong financial goals
  • Supportive leadership team dedicated to our culture of learning and professional development
  • Competitive salary and health benefits
  • 401K
  • Paid time off
  • Career mapping and mentorship
  • Opportunity to grow personally and professionally

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