The Financial Advisor is responsible for sourcing and educating leads to the value of an advisory relationship and once obtaining leads to clients, help them achieve and exceed their financial goals. The Financial Advisor leads his or her team effort to serve clients in a sincere, ethical, and progressive way so that long term, generational relationships are built. The position will require extensive research and analysis of client data, various planning software and various other tools to provide a clear and concise financial plan. Extensive knowledge in all areas of planning is required.
JOB DUTIES AND RESPONSIBILITIES:
• Interacts daily on the phone and in person with prospective and existing clients including handling advanced inquiries and accepting orders.
• Researches client and security information through the back office system.
• Processes and follows up on client documentation for proper maintenance of accounts.
• Prepares letters, forms, and spreadsheets to assist with servicing existing clients and prospecting for new clients.
• Creates and maintains records and files.
• Ensures required client paperwork is current with firm and industry requirements, rules and regulations.
• Maintains databases and creates reports using portfolio software programs.
• Assists Financial Advisors with marketing efforts for seminars and compliance approval for advertising literature.
• Responsible for client meeting preparation (forms, reports, presentations, etc.)
• Supervise and train additional client services staff.
• Receives cross-training and assists with other operational functions as required.
• Performs other duties and responsibilities as assigned.
MINIMUM REQUIREMENTS:
• Bachelor's Degree in Finance or related field
• 5-7 years of prior industry experience as a Financial Planner or Advisor
• Series 7, Series 65/66 registered and one or more other professional industry designations
ESSENTIAL MENTAL FUNCTIONS:
• Experience in related technology, software planning tools and presentations.
• Extensive analytical and problem solving ability
• Knowledge of investment concepts, practices, products, financial markets and procedures used in the securities industry.
• Knowledge of industry regulations provided by SEC, FINRA, and related broker/dealer
• General office practices, procedures, and methods
• MS Excel, Word, Outlook, and Power Point proficiency
• Proven team leadership skills
• Client driven customer service