Senior Wealth Advisor SAFE Act - Suffolk County

About the role

Applies in-depth disciplinary knowledge, contributing to the development of new techniques and the improvement of processes and workflow for the area or function. Integrates subject matter and industry expertise within a defined area. Requires in-depth understanding of how areas collectively integrate within the sub-function as well as coordinate and contribute to the objectives of the function and overall business.

Evaluates moderately complex and variable issues with substantial potential impact, where development of an approach involves weighing various alternatives and balancing potentially conflicting situations using multiple sources of information. Requires good analytical skills to filter, prioritize, and validate complex and dynamic material. Strong communication and diplomacy skills are essential, with regular assumption of informal or formal leadership roles within teams. Involved in coaching and training new recruits, with significant impact on project size, geography, and decision-making through advice, counsel, or facilitating services.

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 Bank through financial planning, discovery, and profiling skills.
• Respond to referrals and introductions from business partners, recommending the best offering 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 and 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 KYC/AML and other compliance norms are strictly adhered to.
• Partner with branch team roles to ensure a positive in-branch client experience.
• Assess risk in business decisions, demonstrating consideration for 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 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 Securities Industry Essentials (SIE), Series 7, and Series 66 (or 63 and 65) licenses.
• Group 1 insurance.
• Registration as a mortgage loan originator with the Nationwide Mortgage Licensing System and Registry (NMLS), including annual renewal and timely updates to registration information.

Education

Bachelor’s degree or equivalent experience.

Pay

Full-time salary range: $70,000.00 - $120,000.00. 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.

Location

Huntington, New York, United States.