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Job title: Sr. Financial Advisor
Company: Gables Search
Job description: Sr. Financial Advisor
$75,000 to $90,000 + Bonus + Commission
NYC, NY
Seasoned professional contributor works independently with limited supervision. Provides retirement planning strategies for Mass Affluent clients ($250,000 – $ 5 MM) by assessing the client’s past, present and future financial needs, objectives and requirements. Meets needs by proactively building relationships with clients, providing ongoing advice and drawing on the range of available R&I products by using the BOW pitch book, playbook and conducting in-depth Premier Retirement checkup analysis for clients. Initiates and proactively cultivates relationships with Financial Advisors, Relationship Managers, and other WMG or bank partners including Branch Managers and others.
Essential Job Functions
- Provides financial strategies for client financial needs by collecting and analyzing client financial data to determine which products best meet the client’s financial needs, and providing advice to the client as to what investment products are in the client’s best interest.
- Acts as a fully integrated “Subject Matter Expert” for Investments and Advisory Services & Life Insurance in the Wealth Management Group 360 degree client experience.
- Partners with Relationship managers to provide outstanding overall Wealth Management Group 360 degree client experience for all accounts with assets above $250K up to $5MM.
- Creates financial plans for customers and deepens relationships with existing book of business clients.
- Maintains an in-depth knowledge of the bank’s products and offerings, and promotes these products and offerings amongst clients as appropriate.
- Provides outstanding customer service by following up on any client service request.
- Fulfills all regulatory and firm compliance obligations as detailed in policies, procedures and regulations.
- Collaborates with WMG partners.
Other Job Duties
- Performs other duties as assigned.
- Must be able to develop / maintain cumulative IAS book of business of $ 9 – $ 20 mm over period of years.
- Responsible to grow IAS book of business to meet and exceed annual goal levels.
Qualifications – External
Required Experience
- Requires advanced knowledge of job area typically obtained through advanced education combined with experience.
- May have practical knowledge of project management.
- Requires 5 years minimum prior relevant experience.
Licenses & Certifications
- Series License-7 Active FINRA Series 7 & 66 or (63/65) and State Insurance license required. Upon Hire
- Series License-66 Active FINRA Series 7 & 66 or (63/65) and State Insurance license required Upon Hire
Skills
- Knowledge of securities and financial industry; Bank products and service knowledge desired.
- Demonstrated ability to effectively communicate with diverse clientele.
- Good knowledge of mass market segment investment needs.
- Demonstrated proficiency in MS office software (Word, Excel, and PowerPoint) and ability to navigate easily through Internet based systems.
- Knowledge and experience with various analysis & planning tools to include MoneyguidePro, EnvestNet analytics, Trust Service analytics and other tools.
- Excellent communication skills required in verbal and written communication, customer service, planning, organizational and making presentations.
- Good understanding of Wealth management model and team capabilities including a working knowledge of: How trust can be used for legacy planning; Stock option planning; Gift planning Financial planning to include retirement and cash flow planning Experience with Advisory platforms; Familiarity with all investment products offered within WMG Proven track record with Life Insurance including a working knowledge of how insurance can be used i.e., wealth protection, Liquidity Creation, Wealth accumulation, Wealth transfer.
SKILLS AND CERTIFICATIONS
Requires 5 years minimum prior relevant experience.
Series License-7 Active FINRA Series 7 & 66 or (63/65) and State Insurance license
IDEAL CANDIDATE
- Requires advanced knowledge of job area typically obtained through advanced education combined with experience.
- May have practical knowledge of project management.
- Requires 5 years minimum prior relevant experience.
Licenses & Certifications
- Series License-7 Active FINRA Series 7 & 66 or (63/65) and State Insurance license required. Upon Hire
- Series License-66 Active FINRA Series 7 & 66 or (63/65) and State Insurance license required Upon Hire
Skills
- Knowledge of securities and financial industry; Bank products and service knowledge desired.
- Demonstrated ability to effectively communicate with diverse clientele.
- Good knowledge of mass market segment investment needs.
- Demonstrated proficiency in MS office software (Word, Excel, and PowerPoint) and ability to navigate easily through Internet based systems.
- Knowledge and experience with various analysis & planning tools to include MoneyguidePro, EnvestNet analytics, Trust Service analytics and other tools.
- Excellent communication skills required in verbal and written communication, customer service, planning, organizational and making presentations.
- Good understanding of Wealth management model and team capabilities including a working knowledge of: How trust can be used for legacy planning; Stock option planning; Gift planning Financial planning to include retirement and cash flow planning Experience with Advisory platforms; Familiarity with all investment products offered within WMG Proven track record with Life Insurance including a working knowledge of how insurance can be used i.e., wealth protection, Liquidity Creation, Wealth accumulation, Wealth transfer.
The Regional Advisor is responsible for providing effective supervision to the broker-dealer and registered investment adviser. In partnership with BWIS’ Regional Sales Managers, Regional Advisors execute all duties and responsibilities outlined in the Supervisory Procedures Manual. Supervisory Procedures are designed to help ensure compliance with all relevant SEC, FINRA, MSRB, and State securities rules and regulations and are also designed to timely detect non-compliance and conducts that are in violation. The Regional Advisor role is critical to the overall management and supervision of BWIS, and as such, are registered principals of the broker-dealer. Each Regional Advisor is assigned to provide coverage to a dedicated business Region to help ensure familiarity, consistency, ownership and follow-through of all supervisory issues relating to the Region.
Essential Job Functions
- Oversees approval of new accounts, including ensuring appropriate KYC and AML obligations are properly satisfied, and ensuring ongoing review of suitability of customer account activity.
- Monitors and reviews all Regional daily trading for areas including, but not limited to, KYC, suitability, excessive trading, unauthorized use of discretion, inappropriate use of margin, selling away, options approvals, concentrated positions, mutual fund activity, variable annuity activity, fixed annuities, fixed income, brokered CD activity, life insurance, registered investment adviser wrap free programs, customer conflicts etc.
- Reviews daily, weekly and monthly surveillance reports and conducts follow up reviews as deemed necessary
- Coordinates with Legal and Compliance Department on handling customer complaints and regulatory inquiries.
- Coordinates with Compliance Department and Compliance Department in the delivery of formal training and interpretation of rules and regulations
- Review and approves outside business activities/outside directorships
- Impose and execute special, heightened supervisory procedures, as necessary.
- Maintain knowledge of all new products and services added to platform
Other Job Duties
- Review all correspondence, including a sample of email correspondence, for assigned region
- Liaise and provide advice to Regional Sales Managers on hiring and recruiting issues
- Performs other duties as outlined in Written Supervisory Procedures and Delegation Memo, or as assigned by or Management
- Performs other duties as assigned.
Qualifications – External
Required Experience
- Requires deep knowledge of job area typically obtained through advanced education combined with experience.
- Typically viewed as a specialist within discipline.
- May have broad knowledge of project management.
- Requires 7 years minimum prior relevant experience.
Education
- Bachelor’s Degree Finance, Accounting, Business or equivalent experience
- High School Diploma or GED Required
Licenses & Certifications
- FINRA Series 7, 24, and 66 (or 63 and 65) Required
- FINRA Series 4, 53 & State Insurance license to obtain within 90 days unless already hold license (s)
Skills
Strong knowledge of broker-dealer supervision and compliance, preferably at a bank-broker/dealer
- Ability to read and interpret securities regulatory statutes
- Strong Microsoft Excel and Microsoft PowerPoint skills
- Strong communication and inter-personal skills
- Strong writing skills
SKILLS AND CERTIFICATIONS [note: bold skills and certification are required] Requires minimum current related experience
FINRA Series 7, 24, and 66 (or 63 and 65) Required
FINRA Series 4, 53 & State Insurance license to obtain within 90 days unless already hold license (s
IDEAL CANDIDATE
Licenses & Certifications
- FINRA Series 7, 24, and 66 (or 63 and 65) Required
- FINRA Series 4, 53 & State Insurance license to obtain within 90 days unless already hold license (s)
Skills
Strong knowledge of broker-dealer supervision and compliance, preferably at a bank-broker/dealer
- Ability to read and interpret securities regulatory statutes
- Strong Microsoft Excel and Microsoft PowerPoint skills
- Strong communication and inter-personal skills
- Strong writing skills
Expected salary: $60000 – 90000 per year
Location: Manhattan, NY
Job date: Sun, 15 Aug 2021 07:33:32 GMT
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