Our client is a dynamic, boutique wealth management firm with a mission to educate the community on all things financial and empower individuals to live their best lives. They are looking to add a Senior Lead Financial Advisor to their team to provide strategic guidance and leadership.
Key Responsibilities
- Build and nurture long-term relationships with existing clients, understanding their unique financial goals, needs, and preferences.
- Collaborate with clients to evaluate their financial situation, develop tailored financial plans, and provide strategic advice to help them achieve their financial objectives.
- Oversee and manage client investment portfolios, ensuring alignment with their goals and risk tolerance while optimizing for performance.
- Conduct comprehensive 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 clients relevant, up-to-date financial advice.
- Clearly and effectively communicate complex financial concepts to clients, keeping them well-informed about their investments and strategies.
- Address client concerns and resolve issues promptly, demonstrating a commitment to high client satisfaction and strong problem-solving abilities.
- 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 current on industry developments, competitors, and market conditions to provide clients with valuable insights and informed recommendations.
- Maintain accurate records of client interactions, financial plans, and investment decisions in compliance with regulatory requirements.
- Collaborate closely with other departments (e.g., investment analysts, legal, and compliance teams) to ensure a comprehensive approach to client service.
- Pursue ongoing professional development by staying informed about changes in financial markets, regulations, and industry best practices.
Qualifications
- 8+ years of experience in Financial Services with deep knowledge of financial planning and wealth management.
- Expertise in advising clients on all aspects of their balance sheet, including investment accounts, cash management, qualified plans, real estate, credit, and alternative investments.
- Strong understanding of tax thresholds, taxation of different financial instruments, and strategies to optimize taxes.
- In-depth knowledge of financial markets with a relentless drive to stay informed and continue learning.
- Series 7, Series 66/63, and State Life & Health Insurance licenses required; unlicensed candidates will be considered but must obtain licenses within 120 days of employment.
- Professional certifications such as CFP, CFA, CPA, J.D., or equivalent preferred. CFP is HIGHLY preferred.
Compensation
- Base salary: $120,000 - $150,000
- Total compensation: $150,000 - $200,000, including performance-based bonuses
What We Do
Based in Northern California’s wine country, our consulting firm believes that if your employees truly are your best asset, then the quickest way to grow your business is to get better at getting (and keeping) better people.
We offer turnkey solutions that leave our clients with a repeatable process in place so that value continues to be created even after the retainer ends. Our ideal clients are small to medium businesses that know they can improve their talent acquisition and retention strategies, but they just don’t know where to begin.
