Financial Advisor Senior

Dallas, TX and Houston, TX
Starting $100,000 per year + benefits
Nov 17, 2020
Dec 17, 2020
CFA Charterholder
Employment Type
Full Time

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


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


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