Associate Financial Advisor

This Associate Financial Advisor position at TPM Placement supports lead advisors in a fee-based investment advisory firm serving clients in Worcester, MA. The role is based in Worcester with a hybrid schedule and focuses on strengthening referral relationships, supporting the client onboarding experience, and delivering tailored financial planning and investment solutions (without being responsible for investment decisions).

You will help manage client relationships end-to-end, prepare for client meetings, and contribute to ongoing plan reviews by tracking changes in clients’ financial situations and recommending adjustments as needed. The position also includes compliance-minded client service, coordination with the investment committee, and close collaboration with the client service team to build advisory and client acquisition skills.

Key Responsibilities

• Nurture strong, consistent referral streams while servicing existing clients and deepening relationships.
• Support the discovery and onboarding process for new clients.
• Prepare for and participate in client meetings, including providing clear, actionable guidance aligned with the firm’s mission.
• Follow up on action items and take ownership to manage client expectations and deliverables.
• Monitor and cultivate incoming warm leads from productive referral networks.
• Conduct periodic client reviews by tracking changes in financial situations, analyzing plan performance, and recommending strategy adjustments.
• Assist lead advisors by conducting client research and preparing materials for meetings.
• Deliver an exceptional client experience and build deep, trust-based client relationships through ongoing communication.
• Interview clients to assess income, expenses, risk tolerance, and goals.
• Prepare financial plans and coordinate with the investment committee.
• Adhere to regulatory standards, follow the firm’s compliance policies, and maintain high ethical standards and client confidentiality.
• Work closely with the client service team, participate in coaching from lead advisors, and develop client acquisition and advisory skills.
• Schedule appointments, address client inquiries, and complete follow-up tasks.

Requirements

• Bachelor’s Degree from an accredited college or university.
• Series 66 or Series 65 required; CFP or CFA is a plus.
• 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.
• Exceptional listening and communication skills, both verbal and written.
• Ability to manage multiple projects and deadlines with close attention to detail.
• Comfortable with presentations and client-facing interactions.

Technologies

• Microsoft Office Suite
• Schwab
• Advyzon
• RightCapital

Compensation

• USD 100,000 - 125,000 per year

Benefits

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

Top Qualities Sought

• Sincere commitment to client and team success.
• Reliability, integrity, and resilience.
• Exceptional communication skills, written and verbal.
• Detail orientation.
• Autonomous self-starter.
• Excellent interpersonal skills and careful listening.
• Comfort working in a fast-paced, feedback-driven environment.
• Professional demeanor and a team player.