Our Client

Without a doubt, experience is a vital component of an investment firm, but for our client, experience tempered with wisdom is even more valuable. To them, wisdom is the result of making good decisions—something they have done consistently for over one and a quarter centuries.

Their focus has always been on doing what’s best for their clients. Their business model demands it.

Our client works with select individuals, families, businesses, and institutions to build, manage, protect, and transition their wealth and investments.

About the Role

The Financial Advisor is responsible for the development, growth, and maintenance of a book of wealth management clients. Our client supports a wide range of clients from individuals who are just starting out all the way to ultra-high-net-worth trusts and endowments. For this reason – Financial Advisors are expected to offer their clients a wide range of solutions including investment management, comprehensive financial planning, risk management, manager selection, and estate/trust planning. This role involves using a consultative and holistic approach to recommend investment products and services based on a client's financial needs and goals. 

Responsibilities

• Interfacing with clients to address their specific needs, while upholding ethical business practices, regulatory compliance, and providing exceptional customer service.
• Managing the entire sales cycle for new leads, from initial consultation to new account opening and investment implementation, while serving as their primary point of contact as they transition from lead to client and beyond.
• The role requires developing/maintaining comprehensive investment portfolios and financial plans tailored to clients' specific needs, aspirations, and financial circumstances.
• Receiving and executing customer orders
• Networking with established professional relationships, or quickly forming deep connections with local professionals, as the majority of new business comes from referrals from current clients and centers of influence like attorneys and CPAs.
• Possess entrepreneurial and self-motivated skillset to work independently, set ambitious business objectives, and achieve them without direct supervision.
• Meticulous record-keeping in the firm's CRM system, including investment recommendations, client meetings, and conversations, as well as demonstrating adherence to FINRA/SEC policies such as Reg-BI and client communication policies.
• Maintaining extensive product knowledge and conducting thorough market analysis to guide and justify recommendations, including staying updated on changes within the US/global economy, US/international stocks/bonds, and the investment product universe.

Minimum Requirements

• 5+ years in industry
• Solid book of business with a minimum production of $250k and $25MM in assets under management; evidence of strong sales results
• Bachelor’s Degree in business, finance or a related field
• FINRA SIE, Series 7 and 63, (63/65 or 66 Preferred)
• Clean U4 record with minimal compliance issues or complaints
• Ability to independently generate new business

Core Competencies

• CRM tools (Redtail, Salesforce, Advisor Assist, etc.)
• Financial Planning tools, (MoneyGuidePro, eMoney Advisor, RightCapital, etc.)
• Wealth Management tools, (Riskalyze, CircleBlack, Addepar, Broadridge, Refinitiv, etc.)
• Strong self-motivation, organization, and ability to work independently
• Excellent verbal, written and interpersonal and customer service skills
• High attention to detail with a strong focus on both accuracy and completion
• Effective research and analysis skills.
• Sales and Marketing Skills
• Negotiation and persuasion
• Reading, writing, and oral expression
• Active listening
• Critical thinking and problem-solving
• Time management
• Judgment and decision making
• Deductive and inductive reasoning
• Empathy
• Speed of task closure

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