Investment Advisor

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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.

Position Requirements:  

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

  •  The company will rely on you to be a lead advisor for its clients. This means, meeting with clients regularly to review their portfolios and make any recommendations.
  •  Additionally, other forms of client interaction are encouraged either via telephone calls or e-mails.
  •  Our clients invest in a wide array of alternative investments, so knowledge of these investments will be required.
  •  You are expected to be knowledgeable on the overall financial markets and be able to answer questions pertaining to the markets that our clients might have.
  •  Attending other client meetings in support of one of the other advisors will be a requirement.
  • 2. Customer Service

  •  Our level of responsiveness to our clientele is a competitive advantage of ours and an important part of our culture.
  •  Ensure client requests for information are responded to quickly and effectively.
  •  Have strong communication skills (oral and written-emails, letters, presentations, conference calls, individual calls).
  •  Provide assistance in collection of data for other advisors who may require help in a customer inquiry.
  •  Support “On-Boarding” of new clientele as part of the investment team as required.
  • 3. Department Operation Support

  •  Proficiency in the current investor software is essential. Daily interaction with client account information will be required.
  •  Assist the team in client cashiering needs (wires, checks, etc.).
  •  Perform periodic reporting on work progress, project completions & additional ad-hoc reporting as needed.
  •  Organize, manage & track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.
  • 4. Trading

    •  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.

    Location: Farmington, NY
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