Financial Advisor, Senior Associate

About the Role: Vanguard is seeking talented Financial Advisors to join our dynamic team across our four sites: Scottsdale, AZ, Charlotte, NC, Malvern, PA, and Dallas, TX. In this role, you will build and maintain strong relationships with our clients, asking thoughtful questions to identify investment needs and providing tailored financial advice and portfolio management guidance.

Key Responsibilities:

• Client Engagement: Identify client needs and collaborate with internal partners to deliver effective solutions.
• Personalized Consultations: Conduct consultations to assess clients' financial situations, goals, risk tolerance, and planning needs, developing customized investment plans.
• Client Satisfaction: Foster deep client relationships and high satisfaction through personalized interactions, leveraging digital experiences and investment planning expertise.
• Business Development: Partner with sales representatives to onboard new clients into advice.
• Daily Operations: Manage daily activities in a fast-paced environment, ensuring timely delivery of commitments.
• Compliance: Maintain accurate client records and ensure adherence to Vanguard's systems, methodologies, and investment guidelines.
• Acumen Building: Develop a thorough understanding of Vanguard funds, products, and services to educate clients effectively. Stay updated on financial planning, capital markets, and the financial services industry.
• Technological Proficiency: Utilize technology to enhance financial planning discussions and work efficiently with clients virtually.
• Team Collaboration: Join a supportive team environment with opportunities for personal and professional growth.

Qualifications:

• 1-2 years of experience in advisory or paraplanner roles.
• Undergraduate degree required.
• SIE, Series 65/66 licenses required.
• CFP® preferred, with a commitment to pursue the designation.
• Regulatory licenses and/or registrations as determined by Compliance based on role-specific duties.

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.

About Vanguard

At Vanguard, we don't just have a mission—we're on a mission.

To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best.

Our commitment to diversity, equity, and inclusion

Vanguard’s commitment to diversity, equity, and inclusion (DEI) is central to our ability to deliver on our mission. We aspire to create a work environment that is inclusive, equitable, and diverse—one that enables our employees, whom we call crew, to thrive and bring their best selves to work every day on behalf of our clients.

Cultivating DEI lifts our entire organization, and everyone shares accountability for our progress—from our senior leaders who lay the foundation and set the example for inclusive behaviors to crew who are growing in their personal DEI learning experiences.

Together, we’re on a mission. We are fueled by the value of diverse voices and connected through friendships and a culture of care—for our clients, our communities, and each other.    

Vanguard’s DEI journey has no finish line. Our commitment is enduring, and we remain focused on the path ahead. To learn more about Vanguard goals and progress toward DEI, download our Diversity, Equity, and Inclusion Report.

How We Work

Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.