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.

Responsibilities:

• 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

Qualifications:

Education/Experience Requirements

• 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