The role involves identifying, building, and deepening relationships with affluent and High Net Worth clients to provide holistic financial solutions and grow portfolio share
Job Summary
The role involves identifying, building, and deepening relationships with affluent and High Net Worth clients to provide holistic financial solutions and grow portfolio share.
Employees receive competitive salary with additional discretionary and formulaic incentive awards, along with comprehensive benefits including medical, dental, vision, 401(k), and paid time off.
The position requires strict adherence to regulatory and compliance procedures including KYC/AML, SAFE Act registration, and FINRA licensing, ensuring the safeguarding of the firm and clients.
Matching Summary
The role involves identifying, building, and deepening relationships with affluent and High Net Worth clients to provide holistic financial solutions and grow portfolio share.
Salary
Base: $88,400.00 - $132,600.00; Bonus/Equity: Discretionary and formulaic incentive and retention awards; Benefits: Medical, dental, vision, 401(k), life, accident, disability insurance, wellness programs, paid time off
Skills & Requirements
Must-have
Client relationship building
Financial planning and profiling
Regulatory and compliance adherence
Risk assessment and management
Use of financial planning software
High net worth client servicing
Nice-to-have
Strong communication and diplomacy skills
Coaching and training new recruits
Organizing client events
Problem solving and goal orientation
Team collaboration
Analytical skills
Key Requirements
5-8 years experience
Current US FINRA Registration: SIE, Series 6, 63, 65 or Series 7 and 66
Insurance Group 1 required
Mortgage loan originator registration with Nationwide Mortgage Licensing System
Bachelor's degree or equivalent experience
Must meet FINRA and Insurance Group 1 requirements within 150 days
Work Rights
Must have US FINRA Registration and Mortgage Loan Originator registration