Lead Financial Advisor

Position Overview

The Lead Advisor is the firm’s main point of contact with a select group of clients. The position has responsibility for managing client relationships and formulating and implementing advice. The Lead Advisor is responsible for participating in new client expansion efforts, with day-to-day responsibilities including generating and servicing new clients as well as servicing existing high-valued clients. This position also works with, trains, and supervises other staff in client service delivery.

Duties & Responsibilities

• Lead, manage, and retain assigned key clients while supporting their financial, investment, and risk outcomes
• Communicate with clients to understand and address goals; represent clients with external parties to achieve service objectives
• Provide expert financial and investment planning advice to management, clients, and external groups
• Analyze and evaluate information to solve client issues responsibly
• Identify and resolve client concerns or issues to prevent potential problems
• Client meeting preparation: review all required paperwork prior to meeting
• Client service, including planning updates, portfolio changes and reviews, and new opportunity identification
• Client asset management, including coordination of complete financial planning and wealth management (analysis, estate planning, tax strategies for assets under management and portfolio management
• Maintain accurate notes and records regarding client matters in the CRM
• Keep team members adequately informed on all active and pending client matters
• Participate in community outreach, networking, and marketing activities to drive new business opportunities
• Identify, cultivate, and track new opportunities for the firm, onboard new client relationships
• Leverage local centers of influence to extend referral network
• Attend client and prospect events
• Ensure compliance with laws, regulations, and standards in decision-making processes

Qualifications

• Bachelor’s degree preferably in business, accounting, finance, economics or related field
• 5+ years of experience in investment management and/or financial advisory services with a demonstrated track record to develop and manage plans and manage client relationships
• Series 65 required
• CFP®, or CFA, designation required
• Experience with Securities, Financial Planning, Investments and Insurance required
• Experience working with various Custodian Platforms (Fidelity, Schwab, TD, etc.) required
• Proficiency in Microsoft Office
• Expert knowledge of using; a financial planning software system such as (eMoney preferred), a CRM system (Salesforce preferred), a portfolio management reporting system (Orion preferred) and document management software

Other Skills, Experience & Attributes

• Has a deep understanding of RIA channel and independent financial advice delivery channel
• Financial planning/wealth management acumen, judgment and experience
• Comprehensive understanding of, and professional experience in, the use of evaluative tools, risk models and quantitative portfolio management techniques
• Leadership and management abilities
• Demonstrated ability to drive execution and results
• Excellent communication skills (verbal, written and listening)
• Knowledge of Investment Advisory Regulations
• Demonstrates personal integrity, honesty and can deal with confidential information daily
• Ability to deal with stress in an ever-changing investment market and financial services
• Excellent time management and strong organizational skills, and ability to prioritize multiple tasks and anticipate potential problems
• Reliable, follows through on commitments, does not shrink from new challenges
• Possesses a passion to help new and existing clients
• Must be organized, detail-oriented and able to manage and prioritize tasks
• Demonstrates a commitment to accuracy by delivering high quality work
• Collaborative and able to work effectively with others
• Flexible team player who is highly adaptable to change and open to new ideas
• Demonstrated ability to work successfully in an entrepreneurial, small company environment
• Uphold firm’s purpose, vision and values

Competitive compensation, between $120,000 and $145,000 based on experience, plus 25% bonus potential.

Benefits include:

• Retirement plan (401k and Roth 401k) with employer contributions
• Medical, dental, vision, life, and DI insurance
• HSA, FSA, and commuter benefits
• Paid time off and holidays
• Continuing education opportunities and career advancement
• Sponsorship towards advanced designations

To be employed within the financial services industry, candidate must pass a thorough background check. This includes DMV, credit and criminal.

We are working directly with a recruiter, so please do not contact our office.

Please submit cover letter and resume in Word or PDF format.

Instructions for applying for this position:
Resumes will not be accepted without a cover letter that states why you would be a good fit for this position and the compensation range you wish to discuss. Also in your cover letter, please describe your three most defining characteristics or attributes. This exercise is meant to show us your writing skills and ability to follow directions as well as to help us get to know you. Please follow these instructions to ensure your resume will be reviewed. We look forward to your submission!

Job Type: Full-time

Pay: $120,000.00 - $145,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Health savings account
• Life insurance
• Paid time off
• Professional development assistance
• Vision insurance

Work Location: In person