Financial Advisor Job Description template and pdf with duties [2024]

Job summary 1

We are on the hunt for a seasoned Financial Advisor is responsible for the ongoing management of existing client relationships and the retention of clients. The Financial Advisor is the firm's main point of contact with a select group of clients. The position has responsibility for managing client relationships and formulating and implementing advice.

Duties & Responsibilities 1

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Requirements & Skills 1

Job summary 2

The Financial Advisor role is responsible for operating a practice that prospects and services mid-market retirement clients. We define “retirement” as serving qualified plan sponsors, fiduciaries, key executives in nonqualified plans, plan participants, retirees, affluent families and professional athletes who view funding a secure retirement as their primary objective.

Duties & Responsibilities 2

Solicit and develop new client relationships
Provide sound financial advice to existing client relationships
Conduct quarterly portfolio/account reviews
Make sales presentations to individuals and committees
Develop cross-selling opportunities among clients
- Develop relationships with referral sources
- Recommend investment products and services that are suitable for prospects and clients based on their preferences including objectives, resources, risk profile, and time horizon
- 50-75% travel required

Requirements & Skills 2

Bachelor's degree required; major in Business Administration, Statistics, or Economics preferred
3 years' of direct selling experience (Financial Service industry a plus); demonstrated ability to build a book of business
Strong proficiency in Microsoft Office, especially Microsoft Excel
Client Relationship Management (CRM) software experience
Exceptional oral and written communications skills
- High standard of professionalism (dress, manners, conduct, and communication)
- Strong interest in the investment/financial services industry
- Able to work independently

Job summary 3

We are looking for a Financial Advisor. This Financial Advisor must be able to maintain respect of an office full of other intelligent and motivated financial advisors. As the Financial Advisor you will be responsible for procuring and managing a book of business and providing financial advisory services in a wealth management capacity.

Duties & Responsibilities 3

Understand clients’ financial needs.
Determine clients’ expenses, level of income, insurance coverage, their financial objectives and goals, tax status and risk tolerance.
Answer clients’ questions and address concerns.
Give advices to clients about insurance coverage, investment planning, cash management or any other areas in order to help them reach their financial goals.
Regularly review clients’ bank and other accounts and analyze their financial data to understand if life or economic changes are necessary to reach their financial goals.
Preparing or interpreting financial document summaries, investment performance reports and income projections for clients.
- Manage and regularly update clients’ portfolios.
- Continuous communication with clients’ to stay up to date with their financial status
- Building and maintaining your client base.

Requirements & Skills 3

Bachelor's degree in Finance or Accounting or related field
2 years or more of experience working for a respectable Financial Advisory firm
- Great organizational skills
- Team player
- Excellent communication skills, written and verbal

Job summary 4

We are currently hiring talented Financial Advisor who proactively identify and sell a broad array of Investment and Insurance products to customers. The successful candidate will meet with customers to determine their investment needs, recommend investments strategies and present investment choices by analyzing the client’s information including assets, income, debts and other liabilities, cash flow and tax status. The Financial Advisor compares and evaluates possible investment options and identifies investment strategies and potential products based on their knowledge of market conditions and the client’s circumstances. The Financial Advisor strives to meet and exceed identified sales goals. The Financial Advisor will proactively engage potential new clients to promote and sell investment products and services, while developing strong working relationships with personnel.

Duties & Responsibilities 4

Aspire to deliver world class customer service
Drive sales through service: Analyze the customer’s investment needs and achieve sales and referral goals by developing a positive customer experience
- Build book of business: Proactively seek ways to develop and expand customer relationships in order to contribute towards the branch success
- Maximize personal productivity: Desire to maximize personal productivity through attention to detail, self motivation, and adaptability to achieve branch and personal goals
- Grow your own capabilities: Actively participate in opportunities to expand knowledge, influencing and interpersonal skills

Requirements & Skills 4

Bachelor's degree or equivalent work experience
Excellent oral and written communication skills
- A team orientation with a strong work ethic and entrepreneurial spirit are desired
- 3 or more years industry related experience
- Strong computer skills and experience utilizing laptop technology

Job summary 5

As a Financial Advisor you can create customized plans to meet your clients’ needs in the following areas: retirement planning, executive benefits, asset protection and risk management, estate planning, education funding, liability management, and real estate.

Duties & Responsibilities 5

Conduct face-to-face meetings, with the support of your manager, during which you will gather pertinent information and educate clients about fundamental financial issues.
Analyze and manage clients’ assets and liabilities to enhance their net worth.
- Present and implement tax-efficient planning solutions to help clients accumulate tax-advantaged wealth and generate tax-free distributions.
- Provide a high level of individualized service throughout your long term consultative relationships with clients to increase loyalty and referral business.
- Expand your knowledge and financial expertise through ongoing specialized training.

Requirements & Skills 5

Excellent communication and listening skills.
Organized individual who excels in problem solving and multi-tasking.
- Motivated hard worker who displays self-confidence and a strong desire to learn.
- Energetic self-starter with a track record of determination, effort and achievement.
- Bachelor’s Degree, or equivalent work experience demonstrating proficiency in marketing, sales, customer service, and/or management skills.

Job summary 6

This Financial Advisor position will lead a team in client acquisitions, retention service, and sales. They will help coach bank branch personnel in identifying good referral prospects, train licensed bank employees to sell annuities; and provide whatever support is needed for the team's existing client base.

Duties & Responsibilities 6

Acquire and retain investment clients through existing relationships, bank referrals, and community involvement.
Sell investment/insurance products and services, provide investment proposals/planning, and conduct annual client reviews.
Recruit bank staff to obtain insurance licenses to join our referral and/or sales program.
- Conduct bank branch referral training.
- Comply with all industry and broker/dealer rules and regulations.
- Prepare new account and account maintenance documentation.

Requirements & Skills 6

Sales skills and a good understanding of overall bank products and operations
- Exceptional social and communication skills necessary to assist clients
- Outstanding verbal and written communication skills
- Bachelor's Degree, required

Job summary 7

Our Financial Advisors help clients pursue the life they envision through a one-on-one or team-based relationship committed to their needs. If you have between two and twelve years of experience as an Financial Advisor, a strong track record of performance, a habit of leadership, and a drive to achieve more for you and your clients, let’s talk.

Duties & Responsibilities 7

Understand all aspects of an optimal practice and complete the training and development needed to continue a successful career as a Financial Advisor
Deliver a full range of goals-based financial planning / wealth strategies including assessment of client needs
- Maintain a robust knowledge of the firm’s latest planning tools, techniques and strategies
- Establish and maintain relationships with the management team and inform them of circumstances that require supervisory attention/review/approval per compliance guidelines and policies
- Source prospective clients and capitalize on referrals

Requirements & Skills 7

Possess excellent communication skills, both written and verbal
- Proven relationship building and business development skills
- Highly Entrepreneurial
- Experience managing client portfolios and driving growth

Job summary 8

This position assists members in achieving their financial goals by offering a wide range of financial products and services. This is accomplished through thorough examination of the member’s personal financial profile and offering the solutions that will benefit those specific needs.

Duties & Responsibilities 8

Analyze the financial situation of our members to assess which investment opportunities would best fit their needs.
Meet with members through referrals and walk-ins; ask probing questions to reveal what investment options would be best for each member.
Design a long-term investment strategy for each member.
- Monitor the effectiveness and satisfaction level of each member by contacting him or her periodically to discuss the financial plan.
- Participate in investment seminars, which introduce members to the products and services offered by the Investment Centre.
- Cross-sell products and services offered by other departments Monitor the special occasions within a members life through which a new investment opportunity might arise.

Requirements & Skills 8

Job summary 9

We’re looking for highly motivated, achievement-driven individuals who want the opportunity to establish and grow a financial services practice with the support and strength of one of the nation’s leading financial services firms.

Duties & Responsibilities 9

Analyze financial information obtained from clients to determine strategies, products and services to help clients meet their financial objectives.
Provide information/education to clients about the purpose and details of financial products, services and strategies.
- Build and maintain client base, keep client plans up-to-date and acquire new clients on an ongoing basis.
- Contact clients periodically to determine if there have been changes in their financial status.
- Provide knowledgeable, objective financial guidance and customized strategies to consumer segments that demand high quality service.

Requirements & Skills 9

Results-driven, highly motivated, self-starter who possesses integrity, a strong work ethic and the desire to help others plan for and protect their financial futures.
Team player who possesses excellent interpersonal skills and communication abilities, with a high degree of self-confidence.
- Ability to draw upon past/present experiences and acquaintances to develop markets and build upon them to sustain long-term relationships.
- Must be authorized to work in the United States
- A four-year college degree is preferred and relevant professional FINRA securities registrations are a plus.

Job summary 10

As a Financial Advisor, you'll help shape your clients' financial futures for each stage in their lives.

Duties & Responsibilities 10

Attend and engage in coaching and training led by the leadership team and established advisors.
Generate client prospects by attending local tradeshows and events, hosting seminars, joining networking groups, utilizing online marketing venues, and asking for referrals.
Develop and execute a marketing plan to attract and engage target audiences that will attract client prospects to build your practice.
Schedule and conduct financial planning and advice meetings with clients and client prospects.
Build deep, meaningful relationships with clients and develop a service model to provide solutions that support their financial goals.
- Achieve or exceed program standards; receive additional compensation opportunities and recognition tied to your results.
- If desired, explore teaming opportunities with seasoned financial advisors as you achieve program standards and advance in your training curriculum.
- Follow high standards of business and professional ethics and legal and regulatory requirements when serving clients and prospects and performing all work-related activities.

Requirements & Skills 10

3+ years of work experience with a proven track record of success.
Have a network of personal and professional contacts within the local area that you may engage for referrals.
- Showcase a background in building strong relationships and delivering superior client service.
- Cannot have been a financial advisor soliciting securities-based business or have a securities-based book of clients in the past 8-10 years.
- Legally authorized to work in the U.S. and does not now or in the future require sponsorship for visa status.

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