Client Associate Finance Jobs

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Associate Financial Advisor

TPM Placement Providence, RI

Providence, RI

Today

$100k - $125k/yr Full time Advisor Business Development Client Associate

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Job Description

TPM Placement is hiring an Associate Financial Advisor for an independent, fee-based investment advisory firm. Based in Providence, RI, this role supports lead advisors through client relationship management, financial planning coordination, and disciplined follow-through across meeting preparation and ongoing reviews.

This hybrid position is structured around serving existing clients, developing referral-based opportunities, and contributing to a process that turns discovery into tailored financial planning and investment solutions. The ideal candidate brings strong communication skills, analytical ability, and a compliance-minded approach to client confidentiality.

Role Overview

Nurture strong, consistent referral streams and deepen relationships with existing clients.
Support discovery and onboarding, contributing to a smooth client experience from start to ongoing service.
Prepare for and participate in client meetings, including client research and meeting support for lead advisors.
Provide clear, actionable guidance aligned with the firm’s mission.
Follow up on action items, owning deliverables and helping manage client expectations.
Monitor and cultivate incoming warm leads from productive referral networks.

Client Planning and Ongoing Service

Conduct periodic reviews, track changes in clients’ financial situations, analyze plan performance, and recommend strategy adjustments.
Interview clients to assess income, expenses, risk tolerance, and goals.
Prepare financial plans and coordinate with the investment committee.
Maintain ongoing client communication to build and sustain a complete understanding of client objectives.
Schedule client appointments, respond to client inquiries, and manage follow-up tasks.

Compliance, Ethics, and Team Collaboration

Adhere to regulatory standards and follow firm compliance policies.
Maintain high ethical standards and client confidentiality.
Work closely with the client service team and participate in coaching from lead advisors to build client acquisition and advisory skills.

Requirements

Series 65 (Required) (Series 66 or 65 required; “Series 65 (Required)” is explicitly stated).
Bachelor’s Degree from an accredited college or university.
3-5 years in a similar role.
Proficiency with computer programs, including Microsoft Office Suite.
Familiarity with Schwab, Advyzon, and RightCapital is a plus.
Strong analytical skills and exceptional listening, verbal, and written communication.
Ability to manage multiple projects and deadlines with strong attention to detail.
Comfortable with presentations and client-facing interactions.
Providence, RI 02901 (Required).
CFP or CFA is a plus.

Benefits

401(k)
401(k) matching
Health insurance
Paid training
Retirement plan

Compensation

$100,000 - $125,000 per year

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