Broker Check

Service Advisor Job Description

Service Advisor

  • Financial Planning / Client Meeting Preparation/Follow-up
    • Prepare applicable parts for review meeting items for current clients
      • Update financial plans, working with clients to obtain the necessary information
    • Deliver financial plans for review with client as well as deliver initial recommendations for the client. (Retirement savings need, etc.)
    • Prepare necessary documents for new client initial/presentation meetings
    • Coordinate post-meeting tasks and action items
      • Prepare and send summary letters along with the completing of pending tasks
    • Work with the Partners to discuss, review and finalize financial planning assumptions and recommendations

 

  • Client Relationship Management/Service
    • Participates in new client and existing client meetings and adds value to meetings by delivering presentations, facilitating discussions, and preparing information
    • Assist with ongoing client requests/questions and executes resolution with proper documentation and follow-up with client/advisor
    • Grows existing client relationships by adding more AUM, identifying opportunities for additional services, and seeking referrals
    • Advises clients on appropriate financial products in the context of their plans

 

  • Investment Management & Implementation
    • Help run firm investment committee meetings
    • Oversee trading on client accounts
    • Assist with quarterly investment rebalances
    • Mutual Fund, ETF & securities/financial product research
    • Development/Implementation of model portfolios & asset allocation strategies
    • Researches new investment products and vendors

 

  • Strategic Planning
    • Understand and support the firm’s vision, mission, and strategy
    • Leverages the time and expertise of Partners by assisting them and at times replacing them in the execution of steps in the client service process
    • Assign projects to staff and Associate Advisors and supervise quality and timeliness
    • Coach/Train staff and Associate Advisors on process and methodology while delivering constructive feedback
    • Mange/track/report on new business opportunities, AUM growth and other important business metrics
    • Goal setting for the firm
    • Ensure efficient client review and new client process in coordination with operations team

 

  • Growth Responsibilities
    • Support Partners in their marketing and business development efforts
    • Attend and contribute to business development meetings
    • Learn about the firm’s target markets and choose a target market/specialty
    • Contribute to the marketing efforts of the firm
    • Improve the referral stream through exceptional client service

 

 

Job Requirements

  • Education
    • Bachelor’s Degree, CFP® certification
    • Series 7 and 66 securities licenses
    • Life/Accident/Health Insurance license
  • Experience
    • 5+ years’ experience in the financial services industry
    • 2+ years with Stein Wealth Advisors
  • Performance Measures
    • Number of clients serviced as “second chair”
    • Number of clients serviced and revenue as “first chair”
    • Completion of goals set by the firm
  • Skills Required
    • Expertise in client service
    • Mastery of the firm’s service and compliance process
    • Project management of client assignments
    • Communication with clients and internally within the team
  • Skills to be Developed
    • Leading client relationships and communicating with clients in an effective manner
    • Becoming a recognized professional expert
    • Managing a team and coaching and developing others

 

Compensation

 

  • Salary plus benefits
  • Incentive compensation up to 20% of salary based on firm goals and Partner discretion
  • New business development bonuses


To apply, please email your resume to info@steinwealth.com.