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Senior Wealth Advisor SAFE Act - Brooklyn

Citi · Brooklyn, NY · 1 mo ago
On-siteFinance$70k/yrFull-time

About the role

This is a seasoned professional role that applies in-depth disciplinary knowledge, contributing to the development of new techniques and the improvement of processes and workflow. The role integrates subject matter and industry expertise within a defined area and requires an in-depth understanding of how areas collectively integrate within the sub-function. It involves evaluating moderately complex and variable issues with substantial potential impact, requiring good analytical skills to filter, prioritize, and validate information from multiple sources. Strong communication and diplomacy skills are essential, along with the ability to assume informal or formal leadership roles within teams. The role has a significant impact on project size, geography, and team performance.

Responsibilities

  • Build relationships with new clients to bring in new bank and brokerage assets.
  • Deepen relationships with existing clients in Private Wealth Management (PWM) and Retail banking through financial planning, discovery, and profiling skills.
  • Respond to referrals and introductions generated through business partners, recommending the best offerings based on client profiling and suitability assessments.
  • Make securities recommendations and provide investment advice using firm models and research.
  • Master referral opportunities to grow portfolio.
  • Refer opportunities to segment partners where appropriate (e.g., Senior Wealth Advisor, Small Business Partners, Home Lending Officer).
  • Acquire new clients through converting referral leads.
  • Manage client follow-up and adhere to all Regulatory and Compliance operating procedures.
  • Ensure KYC/AML and other compliance norms are strictly adhered to.
  • Partner with all roles on the branch team to ensure a positive in-branch client experience.
  • Assess risk in business decisions, demonstrating consideration for the firm’s reputation and compliance with applicable laws, rules, and regulations.

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, and Word) and experience in 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 without direction.
  • Active Series 7, 66 (or 63 and 65) licenses, and Securities Industry Essentials (SIE) certification.
  • Group 1 insurance.
  • Registration as a mortgage loan originator with the Nationwide Mortgage Licensing System and Registry (NMLS), including annual renewal and compliance with SAFE Act regulations.

Education

Bachelor’s degree or equivalent experience.

Location

Brooklyn, New York, United States.

Pay

$70,000.00 annual base salary. In addition to salary, eligible employees may 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.

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