Senior Wealth Advisor SAFE Act

Seasoned professional role applying in-depth disciplinary knowledge to develop new techniques and improve processes and workflow. Integrates subject matter and industry expertise within a defined area, requiring an understanding of how areas collectively integrate within the sub-function and contribute to business objectives. Evaluates moderately complex issues with substantial potential impact, balancing multiple sources of information. Strong analytical, communication, and diplomacy skills required, with regular leadership and coaching responsibilities.

Responsibilities

• Build relationships with new clients to bring in new bank and brokerage assets.
• Deepen relationships with existing clients in PWM and Retail bank using financial planning, discovery, and profiling skills.
• Respond to referrals and introductions from business partners, recommending suitable offerings based on client profiling and assessments.
• Provide investment advice and securities recommendations using firm models and research.
• Identify and master referral opportunities to grow portfolio.
• Refer opportunities to segment partners (e.g., Senior Wealth Advisor, Small Business Partners, Home Lending Officer).
• Acquire new clients by converting referral leads.
• Manage client follow-up and adhere to all Regulatory and Compliance operating procedures.
• Ensure strict adherence to KYC/AML and other compliance norms.
• Partner with branch team roles to ensure a positive in-branch client experience.
• Assess risk in business decisions, prioritizing the firm’s reputation, compliance with laws, and ethical judgment.

Requirements

• 5-8 years of experience in a proactive, successful sales and service role in the financial services industry.
• Strong analytical and financial skills.
• Strong verbal and written communication skills.
• Organized with strong attention to detail.
• Knowledge of Microsoft Office (Excel, Outlook, Word) and experience with financial planning software preferred.
• Basic understanding of investment and financial planning strategies preferred.
• Must be a self-starter, problem solver, and goal-oriented team player able to work independently.
• Active Series 7, 66 (or 63 and 65) licenses, and Securities Industry Essentials (SIE).
• Group 1 insurance.
• Must register as a mortgage loan originator with the Nationwide Mortgage Licensing System and Registry (NMLS) before referring clients for mortgage needs, maintain annual registration, update information timely, and provide the unique identifier to consumers as required by SAFE Act regulations.

Qualifications

Bachelor’s degree or equivalent experience.

Pay

$70,000.00 base salary. Eligible employees may also receive discretionary and formulaic incentive and retention awards.

Benefits

• Medical, dental, and vision coverage.
• 401(k) retirement plan.
• Life, accident, and disability insurance.
• Wellness programs.
• Paid time off, including vacation, sick leave, and holidays.

Schedule

Full time.

Primary location: Boca Raton, Florida, United States.