Sr. Lead Advisor

Compensation - $95,000 - $120,000+ base salary with bonus structure.

Overall compensation: $150,000-200,000+

Our client is a dynamic, boutique wealth management firm with a mission to educate the community on all things financial and empower others to live their best lives. They design a personalized plan and help clients execute it by safely navigating their financial journey and having meaningful adventures. The firm provides comprehensive financial planning, investment advisory solutions, education funding strategies, holistic wealth management, retirement planning, and risk management.

They are adding a Lead Financial Advisor to support the firm.

Responsibilities

• Build and maintain strong relationships with existing clients, understanding their financial goals, needs, and preferences.
• Collaborate with clients to assess their financial situation, develop comprehensive financial plans, and provide strategic advice to help them achieve their objectives.
• Oversee and manage client investment portfolios, ensuring alignment with their financial goals and risk tolerance.
• Conduct thorough risk assessments for clients, considering market conditions, economic factors, and individual risk profiles.
• Stay informed about financial products, investment options, and market trends to offer relevant and up-to-date advice.
• Effectively communicate complex financial concepts to clients clearly and understandably, keeping them informed about their investments and financial strategies.
• Address client concerns and resolve issues promptly, demonstrating problem-solving skills and a commitment to client satisfaction.
• Ensure compliance with financial regulations, industry standards, and company policies to protect both clients and the firm.
• Identify opportunities for business growth by acquiring new clients, cross-selling financial products, and expanding relationships with existing clients.
• Stay abreast of industry developments, competitors, and market conditions to provide valuable insights and recommendations to clients.
• Maintain accurate and detailed records of client interactions, financial plans, and investment decisions in compliance with regulatory requirements.
• Work closely with other departments within the financial advising firm, such as investment analysts, legal, and compliance teams, to ensure a comprehensive and coordinated approach to client service.
• Pursue ongoing professional development, staying informed about changes in financial markets, regulations, and industry best practices.

Qualifications

• 8+ years of experience in Financial Services
• Understanding and ability to articulate Financial Planning
• Ability to advise clients on all aspects of their balance sheet including investment accounts, cash management, qualified plans, real estate, credit and alternatives
• Working understanding of tax thresholds, types of taxation for different instruments and accounts, and the levers for increasing or reducing taxes
• A comprehensive understanding of financial markets and a relentless drive to learn more
• Series 7, Series 66/63 and State Life & Health or similar. Unlicensed candidates will be considered but required to obtain the requisite licenses within 120 days of employment
• CFP, CFA, CPA, J.D. or similar certification or degrees preferred

Compensation

• $95,000 - $120,000+ base salary with bonus structure. Overall compensation: $150,000-200,000+