Associate Investment Advisor

Summary/Objective

Are you feeling stifled in your career? Are you looking for more freedom to build your business? Do you feel that you should be earning more than you are? We are a 25 year old independent Registered Investment Advisor based in midtown New York City and we are looking for an eager, intelligent and seasoned advisor who would like to take advantage of the synergies available in a boutique setting. The advisor we seek currently oversees and/or consults on client accounts, and is involved in financial planning and review, portfolio oversight and management, and client communication. Position would allow enhanced learning through backstopping current advisors, as well as working with senior advisor to learn pension plan design, construction, and marketing. 

Essential Functions

• You will have the opportunity to build and grow your own book of business and deliver personalized investment solutions to clients. This will be done with a consistent focus on relationship management as well as portfolio management
• Reviews and reconciles client performance reports.
• Researches client issues.
• Maintains client records.
• Rebalance client accounts.
• Prepares client communication.
• New business development.
• Backstop the firm’s other advisors as needed.
• Meet and conduct holistic review meetings with clients.

Competencies

• Communication Proficiency.
• Teamwork.
• Technical Capacity.

Supervisory Responsibility

This position has no supervisory responsibility.

Position Type/ Expected Hours of Work

This is a full-time position where the employee may work from a remote location for a portion of the week, but is expected to be in our offices for a majority of the week.

Travel

Travel may be necessary to build out the advisor’s business, but will be at the discretion of the advisor so long as business and revenue benchmarks are reached.

Community and Volunteer Activities

We support a number of charitable organizations and activities. It is strongly encouraged that the Advisor is willing to, occasionally and as their schedule permits, participate in community and/or charitable activities with which they have a strong affinity.

Required Education and Experience

• Education: Required – Bachelor’s degree; Preferred – Bachelor’s degree in Finance or related field.
• Required Designation: CFP^®
• Work Experience: Required – Minimum of three (3) years’ experience with a wealth management platform or RIA. Financial planning experience additionally beneficial.
• Demonstrated capabilities in client acquisition, cultivation and maintenance of client relationships.
• Must live in the NYC Metro area.
• Candidate should have excellent technology skills and have advanced skills in MS Excel.

Additional Eligibility Qualifications

• Must have strong organizational and prioritization skills.
• Ability to work independently to research and resolve client issues.
• Must understand appropriate paperwork and procedures necessary to process transactions.
• Client services oriented.
• Strong attention to detail.
• Must be computer literate and proficient with Windows, Word, and Excel.
• Schwab platform experience is preferred.
• Knowledge of performance reconciliation is a plus.
• Ability to multi-task, and willingness to work both independently and within a team.
• Ability to problem solve and determine effective problem resolutions while complying with corporate, legal, and regulatory requirements.

Pay

• Base pay: To be determined based on experience
• Supplemental pay types: Fee participation and discretionary bonuses.

Email cover letter and CV to: jobs.hr.invadvisor@gmail.com