Financial Professional
About the Role
This Relationship Advisor position is for someone looking to deepen relationships and provide financial solutions to existing base of clients will assisting in the transition of advisors moving to the RIA only/TRPG platform. The Advisor is responsible for transitioning advisors books of business to own rep code, working with customers to help determine the best way to serve their best interest with investment products and financial services. Will be responsible for formulating and implementing advice on your own, may also rely on technical specialists to develop product, investment recommendations while using Cetera tools and platforms. With a strong focus on operations, communications, customer service and sales, the Advisor should be client centric and enjoy developing professional and mutually beneficial relationships with a wide variety of customers. Candidates should be self-motivated and driven to exceed expectations in all that they do.
What You Will Do
- Executing book of business transaction to advisor rep code.
- Developing and maintaining deep product knowledge on a large scale.
- Attend Product Partner events
- Main contact for phone queue clients, ensuring a heightened level of customer service.
- Maintaining superior and courteous service to promote Cetera and expand customer relationships.
- Prepare and complete paperwork as needed.
- Maintain compliance guidelines, client communication notes in AdviceWorks/SmartWorks and Redtail, following Cetera standards in a timely manner.
- Set appointments for client reviews based on criteria set by the FA.
- Collecting and analyzing information regarding the customer risk tolerance, long- and short-term goals, income, assets, investments, and debts; determining which products best meet the customer needs and circumstances.
- Advising the customer regarding the advantages, risks, and disadvantages of different investment opportunities
- Contact various product partners to obtain specific information regarding investments, annuity contracts and advisory accounts.
- Act as a liaison between TRPG and clients, following FINRA guidelines.
- Enter trades for client following preset best practices.
- Prepare client illustrations, managed portfolios, reports, etc. for presentations, and appointments.
- Understanding and complying with all aspects of Cetera policies and practices, including laws and regulations governing the duties and responsibilities of product sales
- Maintaining all necessary licenses and registrations as required
- Successfully completing all mandatory training in a timely manner
- Exceeding customer expectations in terms of accuracy, efficiency, courtesy, and professionalism
Requirements
- FINRA Series 7 and 63, Series 65, or 66 (Required)
- State Life & Health Insurance License
- 5+ years sales, marketing, and business development skills
- 5+ years of experience with investments, insurance and/or advisory relationships
Qualifications
- College degree preferred
- Good communication skills
Our Top Performers Share The Following Traits
- Independent
- Adaptability
- Flexibility
Compensation
The salary range for this role is $60,000, plus competitive incentive compensation package. Compensation packages are based on a wide array of factors unique to each candidate, including but not limited to skill set, years and depth of experience, certifications, and location. Compensation ranges may differ significantly due to geography and cost of labor considerations.
Benefits
- Inclusive health, dental, vision, and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
- Easy access to mental health benefits to meet our team members and their families where they are.
- 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
- 401(k) savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
- Paid parental leave to support all team members with birth, adoption, and fostering.
- Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
- Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
- Paid caregiver leave to provide time away from work when caring for an ill or recovering family member.
- Additional benefits such as an Employee Assistance Program (EAP), identity theft protection (LifeLock), pet insurance, and other voluntary benefits to provide extra peace of mind