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Associate Financial Rep Jobs in New York (NOW HIRING)

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Associate Financial Rep information

What is an associate financial rep?

Associate Financial Representatives are entry-level professionals who support financial advisors and clients in a variety of administrative and customer service tasks. Their duties often include preparing financial documents, managing client records, scheduling appointments, and responding to client inquiries. They help ensure that the office runs smoothly and assist in the delivery of financial services. This role is typically a stepping stone to becoming a full-fledged financial advisor, offering exposure to the financial planning industry and valuable on-the-job training.

What are some common challenges faced by an associate financial rep during their first year on the job?

New Associate Financial Representatives often encounter challenges such as building a client base from the ground up, mastering complex financial products, and balancing administrative duties with client-facing activities. Learning to manage time effectively while prospecting, conducting meetings, and staying current with industry regulations can feel overwhelming at first. However, most firms provide mentorship, training, and support from more experienced team members to help new associates overcome these hurdles and develop strong professional skills.

What are the key skills and qualifications needed to thrive as an associate financial rep, and why are they important?

To thrive as an Associate Financial Representative, you need a solid grasp of financial concepts, attention to detail, and a bachelor's degree in finance, business, or a related field. Familiarity with financial planning software, CRM systems, and relevant certifications such as FINRA Series 6 or 7 is often required. Strong interpersonal skills, active listening, and professionalism help build trust and rapport with clients. These skills are crucial for delivering accurate financial advice, maintaining regulatory compliance, and fostering long-term client relationships.

What is the difference between Associate Financial Rep vs Financial Advisor?

AspectAssociate Financial RepFinancial Advisor
CredentialsSeries 6 or 7, possibly some state licensesSeries 7, 66, or 65, CFP certification often preferred
Work EnvironmentSupport role in financial firms, assisting senior repsClient-facing, providing personalized financial planning
Employer & Industry UsageUsed in brokerage firms, banks, and financial institutionsUsed across independent firms, banks, and advisory practices

The Associate Financial Rep typically supports senior financial professionals, focusing on client service and administrative tasks, while a Financial Advisor directly manages client portfolios and offers comprehensive financial planning. The roles differ mainly in responsibility level and client interaction, but they share similar licensing requirements and industry environments.

How much does an associate financial representative make?

An associate financial representative typically earns between $40,000 and $60,000 annually, with additional compensation from commissions and bonuses based on performance. Entry-level positions may start lower, while experienced reps with certifications can earn more. The role often requires strong communication skills and knowledge of financial products.

What cities in New York are hiring for Associate Financial Rep jobs?

Cities in New York with the most Associate Financial Rep job openings:

Associate Financial Rep jobs near you

Associate, Financial Advisor, New York, NY

Santander

New York, NY • On-site

Full-time

Re-posted 18 days ago

Job description

Associate, Financial Advisor, New York, NY
Country: United States of America
It Starts Here:
Santander is a global leader and innovator in the financial services industry and is evolving from a high-impact brand into a technology-driven organization. Our people are at the heart of this journey and together, we are driving a customer-centric transformation that values bold thinking, innovation, and the courage to challenge what's possible. This is more than a strategic shift. It's a chance for driven professionals to grow, learn, and make a real difference.
If you are interested in exploring the possibilities We Want to Talk to You!
The Difference You Make
The Associate Financial Advisor is responsible for helping clients identify financial needs, understand investment objectives, and implement appropriate investment and insurance solutions consistent with regulatory and compliance standards. Working in partnership with branch leadership and senior investment professionals, the Associate Financial Advisor focuses on developing client relationships, deepening existing relationships, and delivering an exceptional client experience while achieving investment sales and revenue objectives.
Key Responsibilities
  • Attain and exceed investment sales, revenue, and client engagement goals as defined by management and the Retail Investments scorecard.
  • Conduct client appointments through in-person, virtual, and telephone channels to identify financial needs and recommend appropriate investment and insurance solutions.
  • Manage and grow an assigned portfolio of clients by strengthening relationships, uncovering additional opportunities, and delivering ongoing financial guidance.
  • Maintain compliance with all applicable bank, broker/dealer, FINRA, state, and federal regulations governing the sale of investment and insurance products, including Santander's Uninsured Products Policy Statement.
  • Collaborate with Branch Managers, Field Advisors, and Licensed Bank Employees (LBEs) to identify opportunities, generate referrals, and support overall branch investment growth.
  • Provide coaching, education, and product awareness support to LBEs and branch partners to enhance referral generation and client engagement.
  • Participate actively in sales meetings, training programs, coaching sessions, and development initiatives designed to enhance advisory skills and business performance.
  • Develop and execute business development activities aligned with management objectives and client acquisition strategies.
  • Build strong internal relationships and referral partnerships that support client acquisition and retention efforts.
  • Maintain accurate client records, complete operational and administrative requirements, and provide activity and sales reporting in a timely manner.
  • Maintain all required professional licenses, registrations, continuing education requirements, and regulatory training.

What You Bring:
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
  • Bachelor's Degree or equivalent work experience: Finance, Economics, Management Information Systems, Statistics or equivalent field - Required.
  • Master's Degree: Finance, Economics, Management Information Systems, Statistics or equivalent field - Preferred.
  • 5+ Years: Demonstrate a superior record of sales achievement while maintaining high ethical standards - Required.
  • 1+ Years: Experience providing investment guidance and advice to clients - Required.
  • Very strong interpersonal communication skills, complemented by both excellent verbal and written communication.
  • Knowledge of financial analysis and risk evaluation.
  • Motivating, developing, and directing people as they work, identifying the best people for the job.
  • Strong relationship management and negotiation skills.
  • Ability of using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or approaches to problems.
  • Attention to detail, being careful about detail and thorough in completing work tasks.
  • Strong social orientation, preferring to work with others rather than alone, and being personally connected with others on the job.
  • Demonstrated proficiency with Microsoft Office applications.

Certifications:
  • NASD licenses: FINRA Series 7, Series 66 (or 63 & 65) - Required.
  • Appropriate state insurance licenses - Required.

It Would Be Nice For You To Have:
  • Established work history or equivalent demonstrated through a combination of work experience, training, military service, or education.
  • Experience in Microsoft Office products.

Work Authorization & Sponsorship:
Applicants must be legally authorized to work in the United States on a full-time basis without requiring employer sponsorship to commence employment.
What Else You Need To Know:
The base pay range for this position is posted below and represents the annualized salary range. For hourly positions (non-exempt), the annual range is based on a 40-hour work week. The exact compensation may vary based on skills, experience, training, licensure and certifications and location.
Base Pay Range:
Minimum:
$61,875.00 USD
Maximum:
$105,000.00 USD
We Value Your Impact:
Your contribution matters and it's recognized. You can expect a fair and competitive rewards package that reflects the impact you create and the value you deliver. We know rewards go beyond numbers. Offering more than just a paycheck our benefits are designed to support you, your family and your well-being, now and into the future. Santander Benefits - 2026 Santander OnGoing/NH eGuide (foleon.com)
Risk Culture:
We embrace a strong risk culture and all of our professionals at all levels are expected to take a proactive and responsible approach toward risk management.
EEO Statement:
At Santander, we value and respect differences in our workforce. We actively encourage everyone to apply. Santander is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status or any other characteristic protected by law.
Working Conditions:
Frequent minimal physical effort such as sitting, standing and walking is required for this role. Depending on location, occasional moving and lifting light equipment and/or furniture may be required.
Employer Rights:
This job description does not list all of the job duties of the job. You may be asked by your supervisors or managers to perform other duties. You may be evaluated in part based upon your performance of the tasks listed in this job description. The employer has the right to revise this job description at any time. This job description is not a contract for employment and either you or the employer may terminate your employment at any time for any reason.
What To Do Next:
If this sounds like a role you are interested in, then please apply.
We are committed to providing an inclusive and accessible application process for all candidates. If you require any assistance or accommodation due to a disability or any other reason, please contact us at TAOps@santander.us to discuss your needs.

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