The Difference You Make:
The Senior Associate Investment Advisor is an experienced, client-facing Financial Advisor responsible for delivering investment advice, growing client relationships, and generating investment revenue across bothbrokerage and Managed Account / advisory platforms.

What You Bring:

• Serve as a senior investment advisor to clients and prospects, providing advice across advisory and brokerage solutions.
• Conduct comprehensive client discovery to assess investment objectives, financial profile, risk tolerance, liquidity needs, income needs, time horizon, tax considerations, investment experience, and product preferences.
• Recommend appropriate investment strategies, products, and account structures based on client needs and applicable regulatory standards.
• Deliver portfolio reviews, investment proposals, market updates, and product-specific recommendations.
• Help clients understand the differences between advisory and brokerage relationships, including fees, discretion, service model, product access, conflicts, and regulatory obligations.
• Maintain ongoing client engagement to review portfolio positioning, market developments, risk exposure, and changes in client circumstances.

• Grow investment assets, advisory AUM, brokerage revenue, and overall client penetration.
• Develop and manage a disciplined pipeline of client and prospect opportunities.
• Partner with Private Bankers, Relationship Managers, and other referral sources to identify and convert investment opportunities.
• Deepen existing relationships by identifying unmet investment needs and recommending appropriate solutions.
• Support client acquisition and retention through strong investment expertise, relationship management, and execution follow-through.
• Meet or exceed assigned goals related to revenue, AUM growth, client activity, referrals, and business development.

• Advise clients on Managed Account solutions, including UMA, SMA, model portfolios, mutual fund advisory programs, ETF portfolios, and third-party manager strategies.
• Position advisory solutions for clients seeking ongoing portfolio management, asset allocation, rebalancing, professional management, and fee-based advice.
• Assist clients in selecting appropriate advisory programs, investment models, managers, strategies, and risk profiles.
• Review advisory relationships periodically to ensure continued alignment with client objectives, risk tolerance, and financial circumstances.
• Support advisory growth by transitioning clients into Managed Account solutions where appropriate and in the client’s best interest.

• Advise clients on brokerage products, including equities, fixed income, structured products, alternatives, CDs, mutual funds, ETFs, and other approved investment products.
• Identify situations where brokerage may be more appropriate than advisory, including transactional needs, fixed income portfolios, concentrated positions, structured product exposure, alternative investments, or customized investment preferences.
• Support client needs related to income generation, liquidity management, capital preservation, diversification, tactical opportunities, and portfolio construction.
• Maintain strong knowledge of product features, risks, costs, liquidity, complexity, concentration, and suitability considerations.
• Ensure brokerage recommendations are properly documented and aligned with client best interest standards.

• Develop investment recommendations based on client goals, risk profile, market environment, asset allocation, and platform capabilities.
• Review client portfolios for concentration risk, allocation gaps, liquidity needs, income shortfalls, tax considerations, and diversification opportunities.
• Coordinate with internal investment specialists, product teams, and platform resources when specialized expertise is required.
• Translate market views and investment themes into actionable client recommendations.
• Deliver clear explanations of investment rationale, product risks, fees, performance expectations, and portfolio trade-offs.

• Maintain strong documentation of client objectives, recommendations, investment rationale, account type selection, suitability, and best interest considerations.
• Operate in accordance with firm policies, supervisory procedures, Reg BI, suitability standards, fiduciary obligations where applicable, and applicable securities regulations.
• Escalate complex product, client, suitability, disclosure, or operational issues to appropriate supervisory or control partners.
• Maintain awareness of product eligibility, concentration limits, liquidity considerations, disclosure obligations, and client communication standards.
• Complete required training, continuing education, licensing requirements, and compliance attestations.

• Partner with Private Bankers, Relationship Managers, Product, Supervision, Compliance, Operations, Trading, and Managed Account platform teams.
• Act as a senior investment resource for internal partners seeking guidance on client investment opportunities.
• Support business initiatives related to advisory growth, brokerage retention, client segmentation, and platform adoption.
• Mentor or guide less experienced team members where appropriate, while remaining primarily focused on client advice and revenue generation.

• Bachelor’s degree in Finance, Economics, Business, Accounting, or a related field preferred.
• 10+ years of experience in a client-facing investment advisory, financial advisor, wealth advisor, private banking, brokerage, or investment sales role.
• Demonstrated track record of advising clients, growing investment relationships, generating revenue, and managing investment sales opportunities.
• Strong experience with bothManaged Accounts / advisory solutions and brokerage products.
• Experience advising clients on UMA, SMA, model portfolios, mutual funds, ETFs, advisory programs, and fee-based investment solutions.
• Experience with brokerage products including equities, fixed income, structured products, alternatives, CDs, mutual funds, ETFs, and other approved investment solutions.
• Strong understanding of asset allocation, portfolio construction, income strategies, investment risk, manager/model selection, and product suitability.
• Strong knowledge of Reg BI, suitability, fiduciary obligations where applicable, account type considerations, disclosure requirements, and documentation standards.
• Proven ability to partner with banking, wealth, and relationship teams to source and convert investment opportunities.
• Excellent client-facing communication, presentation, sales, negotiation, and relationship management skills.
• Ability to operate independently with senior clients, complex portfolios, and sophisticated investment needs.

• 12+ years of experience in wealth management, private banking, brokerage, RIA, or broker-dealer environments.
• Experience serving affluent, high-net-worth, ultra-high-net-worth, international, or private bank clients.
• Experience working in a dual advisory and brokerage platform.
• Established track record of growing AUM, advisory penetration, brokerage revenue, and client wallet share.
• Strong familiarity with fixed income, structured products, alternatives, and more sophisticated investment solutions.
• Experience transitioning clients from brokerage to advisory where appropriate and in the client’s best interest.
• Ability to work with complex client situations, including concentrated positions, income-oriented portfolios, cross-border considerations, liquidity events, and legacy brokerage relationships.
• CFP, CFA, CIMA, CAIA, or other investment-related designation preferred but not required.
• Bilingual capabilities are a plus, depending on client segment and market.

• FINRA Series 7 required.
• FINRA Series 66, or Series 65 and Series 63, required.
• SIE required if not already licensed.
• Life, Health, and Variable Annuity license preferred where applicable.
• CFP, CFA, CIMA, CAIA, or similar investment designation is a plus.
• Candidates who do not currently hold all required licenses may be required to obtain them within a defined period after hire, subject to firm policy.

• Senior client investment advice
• Financial advisor sales execution
• Managed Accounts and advisory platforms
• Brokerage products
• Portfolio construction
• Asset allocation
• Client discovery and risk profiling
• Investment proposals and portfolio reviews
• Revenue and AUM growth
• Relationship management
• Reg BI, suitability, and fiduciary awareness
• Documentation and supervisory discipline
• Partnership with Private Bankers and Relationship Managers

What Else You Need To Know:

The base pay range for this position is posted below and represents the annualized salary range. For hourly positions (non-exempt), the annual range is based on a 40-hour work week. The exact compensation may vary based on skills, experience, training, licensure and certifications and location.

Base Pay Range:

Minimum:

We Value Your Impact:

Your contribution matters and it’s recognized.  You can expect a fair and competitive rewards package that reflects the impact you create and the value you deliver. We know rewards go beyond numbers.  Offering more than just a paycheck our benefits are designed to support you, your family and your well-being, now and into the future. <