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Job Opportunities

Financial Service Associate (Posted 7/12/19)

We have been helping our clients fulfill their financial goals since 1998. Guided Path Wealth Management is a boutique firm that advocates a healthy work/life balance both for our clients and our team.

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Summary of responsibilities

This position requires accurate and timely completion of the firm’s administrative functions. Client interactions must be professional and personable as to create and nurture confidence inspiring relationships. The objective is to have the office operate efficiently such that the advisor can focus primarily on existing and new client relationships. 

Principal responsibilities

  • Provide an exceptional customer service experience to reinforce our firm’s value proposition: A boutique firm that focuses on treating each client like they are our only client
  • Communicate in an articulate, professional and timely manner
  • Accurately facilitate all client paperwork; ensure all required forms are fully completed
  • Generate reports and prepare materials for advisor’s meetings with clients
  • Review advisor case notes for accuracy, attach to client record in CRM and complete all action items as required
  • Maintain up to date, organized electronic client files, including copies of all signed applications and forms, in accordance with the firm’s compliance requirements
  • Manage office administrative procedures in accordance with the firm’s compliance requirements
  • Use the CRM system efficiently to schedule client meetings, enter new contacts, and document in case notes all relevant client interactions and account administration
  • Data entry of all client information into the appropriate programs/software
  • Work closely with advisor to oversee all licensing, credential and continuing education requirements
  • Make suggestions to systematize and improve office function and efficiency
  • Provide total office coverage when advisor is out of town or predisposed
  • Regularly review our Broker/Dealer’s news items, technology updates, and e-mail communications; report pertinent information back to advisor
  • Proactively pursue available training resources to expand knowledge and operational expertise
  • Systematize and oversee social media posts and ongoing client correspondence
  • Track and order all supplies
  • Keep office clean and presentable.

Required knowledge/skills/competencies

  • Ability to work independently and differentiate between matters that should be handled alone versus those that require advisor assistance
  • Ability to effectively prioritize workload and meet deadlines
  • A conscientious nature and strong interpersonal skills
  • Ability to maintain attention to detail while under pressure
  • Ability to identify and solve problems
  • Proofreading/quality assurance skills to ensure that all work is accurate and grammatically correct
  • Excellent organizational skills and high attention to detail. (Including physical resources such as files, manuals, etc. and nonphysical resources such as calendars, appointments, events, client contact records, images, etc.)
  • A self-starter who can work independently with enough patience to do repetitive work correctly
  • Three years of experience facilitating Wealth and Risk Management business or five years of experience in an administrative role
  • Proficiency with Microsoft Office Suite (Excel, Word, Outlook and PPT); familiarity with financial planning software a plus
  • Bachelor’s Degree
  • FINRA Series 6, Series 7 and/or Series 63 registrations are a plus
  • Be curious – Always strive to learn and improve

Additional Information

  • Salary will reflect experience and qualifications
  • References and relevant experience required
  • To apply, email your cover letter and resume to info@guidedpathwm.com
  • Qualified applicants will be contacted to schedule an interview


 Brian Ephraim, CFP

26861 Calle Hermosa
Capistrano Beach, CA 92624

Phone (949) 441-3102 | Fax (949) 449-8050

brian@guidedpathwm.com | www.guidedpathwm.com