Investment Consultant Job Description template and pdf with duties [2024]

Job summary 1

The Investment Consultant is responsible for providing analysis and guidance to retirement plan clients for investment decisions. Responsibilities include research and analysis of mutual fund managers, preparing client reviews and reports, and meeting with clients to present investment reports and recommendations.

Duties & Responsibilities 1

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Requirements & Skills 1

Job summary 2

The Investment Consultant will provide investment analysis and consulting to Financial Advisor Services (FAS) clients and prospects of moderate to high complexity/sensitivity on an array of topics regarding portfolio construction, investment research, and Vanguard's investment philosophy. The Investment Consultant will also manage investment-related projects and serve as an enterprise-wide investment subject matter expert on behalf of FAS.

Duties & Responsibilities 2

Serves as an investment consultant for assigned financial advisory clients, presenting FAS investment and analysis capabilities to financial advisors, home offices, and other key decision-makers. Works closely with FAS Sales to represent FAS to current and prospective clients.
Maintains a high level of proficiency with analytical tools such as Morningstar Direct, Bloomberg, FactSet, and Axioma. Serves as a departmental expert and relationship manager about specific external data providers.
Leads and or contributes to strategic investment or service-related projects at the department, division, or enterprise level.
Liaises with FAS Sales crew regarding financial advisors’ analytical needs.
Responds to investment-related questions from financial advisors. May occasionally travel with the FAS Sales crew to conduct client meetings and industry conferences.
Ensures consistency, accuracy, and positioning of Vanguard communications with FAS sales, FAS Channel Management, and FAS Marketing. Assists sales with client interactions at conferences, home office visits, local office visits, or conference calls.
- Develops and maintains an in-depth understanding of capital markets, asset management, and the financial advisory industry. Keeps abreast of significant changes or developments in the fields of investments and financial services.
- Assists in the training and development of more junior team members.
- Participates in special projects and performs other tasks as assigned.

Requirements & Skills 2

Job summary 3

The Investment Consultant requires that the candidate works both independently and as a team to identify, evaluate and pursue new business opportunities and protect/grow existing clients. Serves in a consultative role to clients and prospects, exercising the best way to achieve their short- and long-term strategic objectives through the firm’s investment solutions.

Duties & Responsibilities 3

Manage territory with an external partner to meet or exceed goals
- Conduct consultative, relationship-building sales calls via the telephone, email, and virtual engagements with financial advisors and other licensed professionals
- Identify sales opportunities and advisor needs, cross-sell ideas, and introduce new concepts Develop asset allocation strategies based on client objectives and risk tolerances
- Handle daily territory management tasks to ensure maximum business efficiency, i.e. update and maintain CRM system

Requirements & Skills 3

FINRA Series 7 and 63 required or obtained within 120 days of the start date
Bachelor’s degree required – Finance/Business preferred
Understanding of the financial/capital markets; mutual funds, ETF and SMA’s a plus.
Build and expand relationships with a predetermined opportunistic list of prospects and clients. Fluid relationship and communication skills
- Excellent presentation and organizational skills.
- Ability to work independently in a fast-paced environment.
- Ability to consistently have high volume of proactive phone activity

Job summary 4

The Investment Consultant will be responsible for providing dedicated coverage and expertise to drive greater market share and asset flows for Company's vast capabilities specifically focused on our Personalized Managed Account (PMA) suite of offerings, including Direct Indexed and Active SMAs within the RIA channel.

Duties & Responsibilities 4

Requirements & Skills 4

Job summary 5

As an Investment Consultant, you'll be regarded as a subject matter authority on asset allocation, risk management, portfolio analysis, and trends. You'll connect regularly with the internal investment and product teams to keep the team up-to-date on the latest portfolio adjustments and product nuances. We'll count on you to use big data marketing, predictive analytics, and other technologies to identify distribution opportunities.

Duties & Responsibilities 5

Develops a comprehensive understanding of the Nationwide Investment suite, competitive landscape, and industry portfolio construction trends.
Provides subject matter expertise to support the team in meeting preparation and client-facing prospecting and final selection meetings.
- Develops investment insights that can be shared with clients and prospects.
- Builds and grows strong knowledge of industry trends, retail distribution market, product innovation, along with legal and regulatory issues.
- Creates and maintain the appropriate relationships and communication with investment professionals to keep the team fully informed.

Requirements & Skills 5

Education: Undergraduate degree; advanced degree preferred.
- License/Certification/Designation: FINRA Series 7, 66, and 63 required. Professional Designations: CFA®, CIMA® other advanced designations are a plus.
- Experience: Five years of experience in a technical role in investment management. Typically, at least three years of experience as an investment analyst. Highly experienced at researching, developing, and communicating investment commentary and making detailed product presentations.
- Knowledge, Abilities, and Skills: Strong interpersonal and analytic skills. An excellent team member who can find ways to contribute to growth and retention efforts. Advanced knowledge of investments and portfolio construction trends. Excellent presentation and written communication skills. Ability to build and maintain relationships with senior investment professionals within prospect and client firms and internally within Nationwide Financial. Disciplined and consistently follows established processes. Proven excellent organizational skills with the ability to prioritize opportunities, workload, and resources.

Job summary 6

The Investment Consultant is responsible for compiling statistical financial, economic, and plan-specific data for client investment reports. The ideal candidate should be able to analyze and interpret capital market and economic events/trends, as well as evaluate investment performance versus relevant benchmarks. The position also is responsible for monitoring and evaluating client portfolios to ensure compliance with investment policy objectives. Additional responsibilities include participating in fund manager due diligence calls/presentations and supporting sales and marketing efforts as requested.

Duties & Responsibilities 6

Develop, analyze, communicate, teach, present, and prepare investment strategies to support the pension and retirement plan sales efforts and help close new business.
Deliver timely, responsive, and accurate support to the sales and marketing staff as well as assigned books of clients who require periodic comprehensive written reviews of their plan's investments. Retain assigned clients.
For current clients, review available investment options and the degree of participation in each investment choice. Make recommendations for proactive menu enhancements (i.e. additional investment options to be included as well as menu items in need of deletion).
Alert management to style drift, capitalization trends, and performance deterioration to provide timely client and prospect communications draft internal and external communication and train investment analysts as needed.
Provide commentary on the current and projected economic conditions and how they may impact the financial markets and investments offered to our retirement plan clients.
- Provide proactive asset allocation advice to DB clients and participate in asset/liability studies.
- Analyze portfolios including composite funds and rebalance as needed, every quarter.
- Enact investment policy statements for assigned clients including trades and investment of new deposits.

Requirements & Skills 6

6 or more years of investment performance measurement experience, with significant exposure to mutual and institutional funds.
Bachelor's or more advanced degree in Mathematics, Business, Finance, or Accounting.
Strong computer skills. Especially proficient with Excel, Morningstar, and database management.
Familiarity with other industry software programs for monitoring funds.
- Series 65 required.
- Good knowledge of retirement and pension programs and their funding.
- Financial expertise and business sense from both USI’s and client’s perspective.

Job summary 7

As an Investment Consultant, you will be responsible for leading and coordinating consulting efforts with clients, while providing first-class advice on a range of investment services to DB and DC pension plans. These services include setting investment objectives, strategic asset allocation, investment management structures, manager selection, performance measurement and evaluation, investment manager monitoring, custodian selection, transition advice, statements of investment policy, and global research services. You will liaise closely with senior consultants, clients, fund managers, and other areas of the firm and take increasing responsibility for client relationships (supporting other consultants and gaining support from investment analysts as appropriate).

Duties & Responsibilities 7

Requirements & Skills 7

Undergraduate degree required; relevant professional qualifications such as CFA, FSA, MSc, and MBA are preferred
Five or more years of progressive investment experience, ideally gained in a client-service-oriented environment (consulting, investment management, or portfolio management)
Strong client focus and a record of supporting the management of client relationships
Strong technical skills related to asset/liability-based investment strategies, including liability relative risk management; familiarity with customized stochastic modeling tools preferred
Understanding of investment management organizations and their role in client solutions
Strong oral and written communication skills and ability to liaise with internal and external constituencies
- Team player comfortable in a professional services environment with the ability to communicate effectively internally & externally at appropriate levels
- Willingness to mentor junior colleagues to assist in developing our talent pool
- Moderate travel required

Job summary 8

As an Investment Consultant you will develop financial plans customized to the needs of the Company’s mass affluent investors through a wide range of products and services. You will be prospecting from existing business and warm leads, allowing your focus to remain where it matters the most: cultivating relationships and providing investment solutions.

Duties & Responsibilities 8

In a team-based, sales environment you take initiative and exceed expectations.
You have a deep understanding of various investment products and can educate customers on the values and differences between each
Incomparable consultative selling and organizational skills
- Providing needs-based mentorship to mass affluent customers, and contributing to the long-term growth and retention of Fidelity assets
- With our open architecture, you offer a wide broad range of financial products and services
- Effectively engaging clients through personal interactions, reflecting your interpersonal communication and relationship-building skills

Requirements & Skills 8

Certified Financial Planner ® / CFP-® - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA

Job summary 9

The Investment Consultant’s (Internal Wholesaler) primary responsibility is to drive Mutual Funds and Managed Accounts sales through an increased phone presence in the assigned region(s) and to complement the activities of the territory’s Regional Investment Consultant (External Wholesaler). The Investment Consultant is also responsible for developing strategies to better expand Asset Management coverage within the respective region(s) helping increase Mutual Funds and Managed Accounts market share through sales. Investment Consultants provide sales and sales support to both Financial Representatives and representatives at outside firms Company has selling agreements.

Duties & Responsibilities 9

Requirements & Skills 9

FINRA Series 7 and 63/65 or 66 required or complete FINRA SIE, Series 7 and 63/65 or 66 exams within 90 days of hire/transfer.
Bachelor's degree.
2-5 years of sales experience preferably within the financial services industry.
Demonstrated relationship management skills, including the ability to work in a team environment.
Must be able to perform heavy phone work daily.
- Strong time management, organizational, and problem-solving skills.
- Ability to learn and adapt quickly while applying creativity.
- Ability to work in a changing fast paced high call volume environment, with enthusiasm and a positive attitude.

Job summary 10

We are looking for an Investment Consultant.

Duties & Responsibilities 10

Develop and implement programs designed to increase the quality and quantity of Independent Financial Advisors, accounting, and law firms referring clients to CNR.
Ensure that Independent Financial Advisors are kept abreast of firm and industry developments.
Ensure that the transition from the sales process to portfolio management is smooth and accurate.
Facilitate the new accounts and account transfer process.
Handle Independent Financial Advisor and client communication.
Prepare client presentations.
- Communicate regularly with centers of influence to ensure that products and services are meeting their needs, expectations, and specifications.
- Facilitate and conduct individual meetings and presentations in assigned territory.
- Generate new assets for the firm using a highly professional consultative sales approach.

Requirements & Skills 10

Master's Degree and/or CFA (or in process of CFA)
Minimum 7 years of financial experience preferably in Investment Management
Minimum of 7 years of experience in the High Net Worth or Ultra High Net Market markets
CFA - Charter Financial Analyst (or in process of CFA)
Working knowledge of portfolio management, including knowledge of investment techniques and asset allocation, investment research, capital market behaviors, and financial instruments generally acquired through years of investment and /or HNW-related experience.
- 7 to 9 years of financial experience preferably in Investment Management
- 6 to 8 years of experience in the High Net Worth or Ultra High Net Market markets
- Working knowledge of financial planning, investment, and/or HNW economic issues (aka “continual learner”) and the ability to apply principal techniques of portfolio management, along with excellent communication skills to effectively interface with clients and investment colleagues.

Investment Consultant Job Description

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