Investment Advisor - Retirement Plan Services

SWBC is seeking a talented individual who is passionate about delivering exceptional service to retirement plan sponsors while contributing to the continued growth of our practice. This role is responsible for serving as a trusted advisor to retirement plan clients by providing investment advisory, fiduciary, governance, and plan consulting services. The advisor will inherit responsibility for a portion of an existing client base while also developing new business opportunities through networking, referrals, relationship development, and active participation in the retirement plan community. Success in this position requires a combination of strong retirement plan expertise, exceptional client service, attention to detail, and a proactive business development mindset. The ideal candidate understands that retirement plan consulting is a relationship-driven business where trust, consistency, and expertise create long-term growth opportunities. New advisors are expected to devote significant time during their first several months to learning SWBC's consulting process, fiduciary methodology, client service standards, technology platforms, and compliance requirements before progressively assuming greater responsibility for client relationships and business development efforts.

Essential duties include the following:

• Provide exceptional ongoing service and retention support for assigned retirement plan clients through execution of SWBC's disciplined consulting and fiduciary process.
• Develop trusted relationships with plan sponsors, committee members, recordkeepers, TPAs, and other service providers.
• Coordinate, prepare for, and lead client review meetings, investment reviews, fiduciary training sessions, and educational presentations.
• Deliver quarterly monitoring reports and investment reviews to clients and communicate recommendations clearly and effectively.
• Conduct fiduciary education, governance support, and retirement plan consulting activities.
• Assist clients with investment menu reviews, fee benchmarking, vendor evaluations, fiduciary oversight, and plan governance best practices.
• Coordinate participant education meetings and individual participant consultations as needed.
• Prepare and deliver annual due diligence reviews and ongoing client service deliverables.
• Ensure all client commitments, follow-up items, and service responsibilities are completed accurately and on time.
• Develop and maintain a consistent pipeline of prospective retirement plan clients.
• Generate new opportunities through networking, centers of influence, referral relationships, industry associations, conferences, and existing client relationships.
• Develop relationships with CPAs, attorneys, TPAs, financial professionals, and other referral sources.
• Execute business development strategies designed to increase market awareness and generate qualified opportunities.
• Conduct retirement plan sales presentations and consultative discussions with prospective clients.
• Assist with proposal development, RFP responses, finalist presentations, and onboarding of new clients.
• Represent SWBC at conferences, professional events, and industry functions.
• Consistently track, manage, and report business development activities and pipeline progress.
• Maintain compliance with all SEC, FINRA, ERISA, federal, state, and SWBC requirements.
• Participate in Investment Committee meetings, peer reviews, and internal educational programs.
• Maintain accurate client records, documentation, and regulatory files.
• Complete ongoing professional development to remain current on retirement plan industry trends, fiduciary practices, and regulatory developments.

Serious candidates will possess the minimum qualifications:

• Bachelor's Degree in Business, Finance, or related field preferred.
• Minimum of seven (7) years of experience providing retirement plan consulting, fiduciary support, investment advisory services, business development, or related experience.
• Demonstrated ability to develop and maintain long-term client relationships.
• Experience generating new business through referrals, networking, relationship development, and consultative sales.
• Strong knowledge of qualified retirement plans, including 401(k), 403(b), 457, and defined benefit plans.
• Strong understanding of ERISA fiduciary responsibilities, including Sections 3(21) and 3(38).
• Excellent written communication, presentation, and interpersonal skills.
• Exceptional organization, follow-through, and attention to detail.
• Strong working knowledge of Microsoft Office applications.
• Demonstrated self-motivation, professionalism, and accountability.
• Active Series 65 license required.
• Ability to travel locally and nationally as needed.

SWBC offers*:  

• Competitive overall compensation package
• Work/Life balance 
• Employee engagement activities and recognition awards 
• Years of Service awards
• Career enhancement and growth opportunities 
• Leadership Academy and Mentor Program
• Continuing education and career certifications 
• Variety of healthcare coverage options
• Traditional and Roth 401(k) retirement plans 
• Lucrative Wellness Program

*Based upon employee eligibility