Bookkeeper Financial Operations Associate Jobs in Venice, FL

Position Summary

In this pivotal role, the Financial Advisor will be responsible for overseeing the investment strategies for their diverse client base. This results-driven role will be responsible for designing and executing tailored investment strategies that meet the customized financial goals of clients, and will also provide a complete and holistic approach to financial planning.

Role Description

The Financial Advisor is an experienced member of the Moors & Cabot team with a mission to competitively deliver the highest quality service to clients in order to help them achieve their financial goals. This role is a valuable partner in the success of the branch and the overall firm. The Financial Advisors of Moors & Cabot exhibit all of Moors & Cabot’s core values - Integrity, Service is Personal, One Team, Communication and Initiative - in all of the responsibilities listed below.

This full-time role reports to their respective Branch Manager. Working hours are Monday - Friday 8:30 AM to 5:00 PM EST. Moors & Cabot offers multiple flexible work arrangements for its employees: remote, hybrid and in-office. This role is eligible for any of these arrangements depending on proximity to a branch and needs, and must be located within the state of Florida.

Role Responsibilities

• Develop and implement financial planning solutions for clients and perform complex research and financial analysis related to those solutions

  • Build, maintain, and update client databases and financial plans

  • Perform research for client portfolios using various software tools

  • Stay current and informed by researching investment products and market trends

  • Utilize MoneyGuidePro in analyzing, drafting, and implementing financial plans based on client needs

• Provide strategic advice and manage money to reflect client risk tolerance, income, expenses, and assets

• Continuously monitor clients’ financial situations with detail and accuracy by monitoring portfolio transactions and addressing client portfolio inquiries

• Maintain and cultivate client relationships via approved mediums of communication

• Create and prepare detailed portfolio reviews, security analysis, and client delivery presentations for meetings

• Document and execute money moves - trades, deposits, ACH, wires, withdrawals, rollovers, etc.

• Cultivate relationships with wholesalers

• Utilize marketing and established business plans to increase book of business

• Plan networking opportunities to foster client opportunities

• Maintain working relationships with other business functions to ensure seamless business practices and troubleshoot problems when they arise

  • Compliance, Operations, IT, Training Center, etc.

• Set performance expectations and goals for assigned Client Associate(s) in conjunction with the Branch Manager

  • Provide feedback and mentorship to assigned Client Associate(s) on a regular basis

• Adhere to and keep up to date on Compliance and firm policies

• Ensure and maintain good standing with all FINRA/SEC rules and regulations including licensure and continuing education requirements

• Keep up-to-date with the latest tax regulations and industry trends

• Be an active culture carrier and contribute to a positive team morale

Key Measurements

• Ability to meet annual production/revenue goals

• Maintenance and growth of client relationships and book of business

• Adherence to and limiting compliance risk and liability

• Overall success and satisfaction of team, as applicable

Minimum Requirements

• 7+ years of relevant experience within Financial Services

• Portable book of business

• FINRA SIE, Series 7 and 66 (63/65)

• Bachelor’s Degree or higher in Business, Finance, or related field

• A passion for financial markets

• Strong understanding of financial planning, portfolio management, and fiduciary investing concepts

• Prior experience with Financial Planning software

• Confident in using Microsoft Office Suite and Google Suite applications

• Comfortable taking initiative and being part of a team environment

• Ability to sit for long periods of time and lift up to 10 pounds

Preferred Requirements

• Experience with RBC, AOS, Nexus Trading, RedTail, RedOak, Wealthbox, Addepar, RightCapital, RiskAlyze, and MoneyGuidePro

About Us

Since its founding in 1890, Moors & Cabot and its people have defined the meaning of

financial services. The firm has participated in the retail sale of stocks and bonds to

individuals and the institutional sale of stocks and bonds to most of Boston's money

management firms. In addition to specializing in wealth management through full service

registered representatives, Moors & Cabot offers investors additional investment tools

such as cash management accounts, retirement planning, mutual funds, annuities and

other insurance products.

Moors & Cabot is an equal opportunity employer. All aspects of employment including the

decision to hire, promote, discipline, or discharge, will be based on merit, competence,

performance, and business needs. We do not discriminate on the basis of race, color,

religion, marital status, age, national origin, ancestry, physical or mental disability, medical

condition, pregnancy, genetic information, gender, sexual orientation, gender identity or

expression, veteran status, or any other status protected under federal, state, or local law.

We utilize the Department of Homeland Security’s employee authorization program,

E-Verify. E-Verify confirms employment eligibility by comparing the employee's Form I-9

information entered in E-Verify by the employer with the information in records available to SSA and/or DHS.

Benefits

• Total Rewards Benefits Package:

  • Medical, Dental & Vision

  • Short Term Disability & Long Term Disability, Employer paid Life Insurance, and optional Supplemental Life insurance for employee, spouse, and dependents

  • 401k plans

  • Flexible Spending Accounts

  • Critical Illness & Accident insurance

  • Employee Discount Programs

  • Employee Assistance Programs

  • Identity Theft Protection Insurance

  • PTO: Unlimited

  • Flexible Work Schedule