Financial Advisor Senior
Job Profile Summary: This position is responsible for wealth management client acquisition and service delivery for Private Capital Management, LLC (PCM), a subsidiary of Independent Financial.
- Educates prospective clients on Private Capital Management’s service offering, value proposition, and investment philosophy.
- Seeks to grow assets under management through referrals and new business opportunities
- Engages in networking opportunities to increase assets under management and promote the growth of the firm
- Leverages bank colleagues at Independent Financial to drive client referrals.
- Provides ethical and objective, holistic financial planning and investment advice to clients
- Provides asset allocation recommendations and portfolio analysis for clients based on the guidance of the centralized Investment Committee
- Reviews investment performance reports, financial document summaries, and/or income projections with clients.
- Recommends to clients strategies in cash management, insurance coverage, investment planning, or other areas to help them achieve their financial goals
- Monitors for changes in client circumstances and opportunities to provide additional asset management or financial planning services
- Maintains consistent communication with clients
- Maintains awareness, understanding and compliance with “Code of Ethics”, internal policies and procedures, laws and regulations that are appropriate for his/her position
- Demonstrates the bank’s core values
- Ensures that all activities and work functions comply with compliance requirements as defined in company policies and procedures and state/federal laws and regulations
- Bachelor’s degree
- 8 years’ experience providing demonstrated financial and investment advice to high net worth and ultra-high net worth client relationships
- Proven track record of recruiting new clients and meeting or exceeding growth goals
- 5 Experience working in a financial institution to generate new client opportunities
Licenses and Certifications
- Chartered Financial Analyst (CFA) certification, Certified Financial Planner (CFP) certification, or comparable designation
Knowledge/ Skills/ Abilities
- Excellent verbal and written communication skills
- Strong interpersonal skills with ability to build relationships with clients and team members
- Ability to generate leads and successfully gain new clients
- Ability to work with clients to determine their current income, expenses, insurance coverage, tax status, financial objectives, risk tolerance, or other relevant matters, in order to develop a financial plan
- Ability to use good judgment and exercise decision-making skills
- Ability to manage time effectively and work independently
- Organizational skills in managing multiple priorities while maintaining a satisfactory work product