Bachelor's degree in Economics, Finance, or related field
CFP designation with 5 years of advisory experience, or 7 years client-facing experience with RIA and active Series 65
Technical knowledge in comprehensive financial planning including various domains like cash management and estate planning
Experience with financial planning software in an RIA or advisory setting
Proficiency in Microsoft Office and CRM systems like Salesforce
Clean Form U4 with no regulatory disclosures or client complaints
Responsibilities
Manage daily client engagements as part of a dedicated team
Identify and recommend asset management and financial planning strategies
Provide excellent service to proactively maintain client relationships
Collect financial planning data and collaborate with Wealth Planning Department
Create and deliver asset management reports to clients
Communicate professionally through various channels with clients and team members
Coordinate with internal and external teams to execute timely advice
Supervise preparation of meeting materials and document follow-ups
Benefits
Opportunity for career advancement within a reputable firm
Collaborative work environment with a focus on client satisfaction
Access to professional development and training resources
Comprehensive support from Wealth Planning Department
Engagement with a diverse range of clients and financial scenarios
Full Job Description
Summary of the position
We are seeking a highly motivated Wealth Advisor to join our team and help deliver exceptional financial and investment planning services to our clients. In this senior, client-facing role, you will collaborate with other service team members to develop and execute client relationship plans - aiming to enrich their lives, earn their trust, build comprehensive financial plans, and deliver results. With a focus that is both tactical and strategic, this role emphasizes portfolio growth, client retention, and scalable client service across clients of all complexities, while enhancing the overall client experience.
Responsibilities
Manage the day-to-day aspects of client engagements as a member of a team.
Identifying and recommending appropriate asset management, financial and estate planning advice to deliver a great client experience.
Proactively maintain client relationships through excellent client service.
Assist or lead in the collection of financial planning data, while working with the Wealth Planning Department (WPD) to develop financial plans.
Assist or lead in the creation of asset management reports to be delivered to clients. The advisor may play a lead or support role in delivering these reports.
Display professional communication skills with in-person interactions as well as responses to clients, advisors, and team members by phone, email, and written communications.
Serve as a primary point of contact for client relationships.
Coordinate with our external and internal team members to follow up on and execute advice items in a timely manner.
Utilize Salesforce for documentation and processing of client data, tasks, financial accounts and policy adherence
Supervise and coordinate the preparation of meeting materials, including agendas, planning analyses, and investment materials.
Manage meeting follow up, including coordination of internal and external resources; responsible for making sure client objectives are completed.
Complete client meeting notes and follow up tasks as required.
Coordinate the execution of trade orders with our investment operations team.
Develop a deeper technical expertise in general financial knowledge.
Identify additional planning or asset management opportunities in existing client relationships.
Requirements
Bachelor's degree required in Economics, Finance or related field
CFP achieved and 5 years' experience required
If no CFP or industry designation, 7 years client facing advisory experience required with RIA firm with active Series 65
Technical knowledge of all aspects of comprehensive financial planning; including cash management, income tax planning, insurance, education planning, retirement planning, estate planning, and risk management
Previous experience working with financial planning software and planning deliverables with a Registered Investment Advisor (RIA) or in a financial advisory setting
Competent with Microsoft Office suite and Client Relationship Management system such as Salesforce
Clean Form U4 is required. U4 cannot have any regulatory disclosures, client complaints, arbitrations or disclosable settlements.
Competencies
Strong organization and time management skills; effectively able to handle multiple projects and prioritize to meet established deadlines
Excellent communication skills, both written and verbal
Ability to find creative solutions to problems, devise strategies, and propose solutions
Self-starter and able to perform job duties with little supervision
Customer service oriented, with the ability to work independently as well as collaborate with team members
Commitment to efficiently and effectively using provided technology in the service of clients and engagement of colleagues
