Financial Associate – Birmingham, AL

Financial Associate – Birmingham, AL

Southwestern Investment Group

801 Crescent Centre Drive, Suite 600
Franklin, TN 37067

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Recognized as one of the Top Workplaces in 2020, Southwestern Investment Group operates as a family. With more than 40 wealth teams covering five states, our client-focused approach continues to drive our growth across the country. We build our relationships through trust and the heart of a teacher. We partner with clients in pursuit of financial independence and planning for the future. Through our broker-dealer, Raymond James and as one of the family member companies of Southwestern Family of Companies, we have the support of a large company, while offering clients the intimate service of a small firm.


The Financial Associate must be committed to complete the two-year Mentorship Training Program under a senior level Advisor to learn the Financial Services Industry. This position requires the ability to work hard, study hard and be coachable throughout the program. This position will be responsible for learning all aspects of the business including administrative, planning, practice management, prospecting and sales skills that are key success factors in the Financial Services Industry. This position will report to the Senior Level Advisor. This position works with integrity and confidentiality and provides excellent customer service to team members while demonstrating the company values and supporting the mission.


Mentee should be exposed to, learn, and practice the following competencies

  • Administrative work: ability to open accounts, facilitate paperwork, reporting, etc.
  • Financial planning work: GPM, agendas, outlines, notes, tax strategies, etc.
  • Phone skills: cold calls, warm calls, reminder/event calls, services calls
  • Practice management skills: meeting prep, meeting follow up, service items
  • Prospecting/marketing skills: tracking leads, pipelines, COIs, gifts, events, content
  • Meeting skills: observing meetings, co-running meetings, solo running meetings both review meetings and initial meetings
  • Sales skills: intro, close, answer common objections, get referrals
  • Business skills: understand how production works, how to grow a practice
  • Mentee will shadow almost all team lead client/prospect meetings
  • Mentee will solo run meetings with SVP leads, even if below team minimum
  • Mentee will solo run review meetings with some clients in team book of business
  • Expectations that solo meetings often do not start until around the 6-12 month mark
  • Mentee should graduate with at least 60 solo meetings complete


  • Bachelor’s Degree in Finance or related field
  • SIE required, Series 7 and 66 preferred or must complete within the first 3 months of employment
  • Preferred CFP® designation earned within 2 years of employment
  • Experience in related technology, software planning tools and presentations.
  • Extensive analytical and problem solving ability
  • Knowledge of investment concepts, practices, products, financial markets and procedures used in the securities industry.
  • General office practices, procedures, and methods
  • Proficient in Microsoft Office Suite
  • Ability to work on multiple projects simultaneously while accomplishing daily tasks
  • Effective oral and written communication skills and excellent interpersonal skills
  • Attention to detail and critical thinker with exceptional problem-solving skills
  • High standards for integrity, honesty, professionalism, and work ethic
  • Commitment to service excellence
  • Ability to work independently while demonstrating excellent organization and follow through
  • Demonstrate flexible and efficient time management and ability to prioritize workload
  • Ability and willingness to move with purpose and a strong sense of urgency
  • Self-motivated, positive, and enthusiastic
  • Self-starter with a strong desire to exceed expectations and capable of supporting a team
  • Maintain confidentiality discretion
  • Ability to effectively work in collaboration with others to achieve business objectives.
  • Willing to grow and be challenged
  • Attend training as requested

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