Purpose of Position: Serve as the day to day financial advisor to the clients. Primary responsibility is to cultivate relationships with existing client base including meeting with clients in person and provide ongoing advice and relationship building via phone, email and in person.
Education Requirements: Must be a college graduate; Additional Certifications (CFP, CFA, etc.) and/or graduate degree preferred
Licensing Requirements: Preferred = Series 7; Acceptable = Series 6 & 63
Experience Required: Must have a minimum of 2 years of experience in the Financial Services business working within an RIA and/or Broker Dealer
Major Duties and Responsibilities:
1. Advising clients on many aspects of their financial lives
2. Customer Service
3. Department Operation Support
- Job will include trading responsibilities for investor portfolios. As a result of a portfolio strategy change or because a client needs cash, trades will need to be placed. This job will include as a key area of responsibility ongoing account trades
5. Meeting materials
- As a small independent company, we prepare our own meeting materials. A part of the job would require you to build the meeting materials for meetings with your clients as well as those of the firm’s. The most consistent aspect of these materials will be a performance report that lists the investments of the client and how each has performed.
Responsible for compliance with regulations including but not limited to Anti-Money Laundering, U.S. PATRIOT Act, Bank Secrecy Act, OFAC, Fraud Protection, Security Procedures and Privacy and Confidentiality requirements.