Investment Advisor - Retirement Plan Services

SWBC; Austin (TX); On-site; USD 110,000 - 170,000; Full time

Benefits offered by this job

Competitive compensation

Work/Life balance

Career development

Leadership Academy

Wellness program

Job summary

SWBC Retirement Plan Services seeks an Investment Advisor to serve retirement plan sponsors, delivering investment advisory, fiduciary, governance, and plan consulting services. You will inherit a portion of an existing client base while developing new opportunities through networking and referrals, with a strong emphasis on trust and long-term client relationships.

Ideal candidates have 7+ years of experience, Series 65, and the ability to travel locally and nationally to serve clients across

Qualifications

• 7+ years of experience in retirement plan consulting, fiduciary support, or related areas.
• Strong knowledge of ERISA fiduciary responsibilities (3(21)/(38)) and qualified plans.

Responsibilities

• Provide ongoing service and retention support for retirement plan clients through SWBC's consulting and fiduciary processes.
• Develop relationships with plan sponsors, committees, recordkeepers, TPAs, and other providers.
• Lead client reviews, investment reviews, fiduciary training sessions, and educational presentations.
• Deliver monitoring reports and communicate recommendations clearly to clients.
• Contribute to proposal development, RFP responses, and onboarding of new clients.
• Represent SWBC at conferences and industry events.
• Maintain accurate client records and regulatory files.

Skills

Relationship building

Retirement plan knowledge

Networking

Sales / business development

Series 65

Communication skills

Education

Bachelor's degree in Business/Finance

Tools

Microsoft Office

CRM software

Job description

SWBC is seeking a talented individual who is passionate about delivering exceptional service to retirement plan sponsors while contributing to the continued growth of our practice. This role is responsible for serving as a trusted advisor to retirement plan clients by providing investment advisory, fiduciary, governance, and plan consulting services. The advisor will inherit responsibility for a portion of an existing client base while also developing new business opportunities through networking, referrals, relationship development, and active participation in the retirement plan community. Success in this position requires a combination of strong retirement plan expertise, exceptional client service, attention to detail, and a proactive business development mindset. The ideal candidate understands that retirement plan consulting is a relationship-driven business where trust, consistency, and expertise create long-term growth opportunities. New advisors are expected to devote significant time during their first several months to learning SWBC's consulting process, fiduciary methodology, client service standards, technology platforms, and compliance requirements before progressively assuming greater responsibility for client relationships and business development efforts.

Why you'll love this role: As an Investment Advisor with SWBC Retirement Plan Services, you have the opportunity to build a meaningful career while helping organizations improve retirement outcomes for their employees. You will work alongside an experienced team of retirement plan professionals, inherit responsibility for existing client relationships, and be given the opportunity to grow your own book of business over time. Success in this role is built on developing trusted relationships, delivering consistent value, and creating new opportunities through referrals, networking, and market development. For professionals who enjoy serving clients, solving complex challenges, building lasting relationships, and developing business through credibility and expertise, this role offers significant long-term career and income growth potential. This position is best suited for a professional seeking to build a long-term career in retirement plan consulting who values relationship development, client service excellence, and sustainable business growth.

Essential duties include the following:

• Provide exceptional ongoing service and retention support for assigned retirement plan clients through execution of SWBC's disciplined consulting and fiduciary process.
• Develop trusted relationships with plan sponsors, committee members, recordkeepers, TPAs, and other service providers.
• Coordinate, prepare for, and lead client review meetings, investment reviews, fiduciary training sessions, and educational presentations.
• Deliver quarterly monitoring reports and investment reviews to clients and communicate recommendations clearly and effectively.
• Conduct fiduciary education, governance support, and retirement plan consulting activities.
• Assist clients with investment menu reviews, fee benchmarking, vendor evaluations, fiduciary oversight, and plan governance best practices.
• Coordinate participant education meetings and individual participant consultations as needed.
• Prepare and deliver annual due diligence reviews and ongoing client service deliverables.
• Ensure all client commitments, follow-up items, and service responsibilities are completed accurately and on time.
• Develop and maintain a consistent pipeline of prospective retirement plan clients.
• Generate new opportunities through networking, centers of influence, referral relationships, industry associations, conferences, and existing client relationships.
• Develop relationships with CPAs, attorneys, TPAs, financial professionals, and other referral sources.
• Execute business development strategies designed to increase market awareness and generate qualified opportunities.
• Conduct retirement plan sales presentations and consultative discussions with prospective clients.
• Assist with proposal development, RFP responses, finalist presentations, and onboarding of new clients.
• Represent SWBC at conferences, professional events, and industry functions.
• Consistently track, manage, and report business development activities and pipeline progress.
• Maintain compliance with all SEC, FINRA, ERISA, federal, state, and SWBC requirements.
• Participate in Investment Committee meetings, peer reviews, and internal educational programs.
• Maintain accurate client records, documentation, and regulatory files.
• Complete ongoing professional development to remain current on retirement plan industry trends, fiduciary practices, and regulatory developments.

Minimum qualifications:

• Bachelor's Degree in Business, Finance, or related field preferred.
• Minimum of seven (7) years of experience providing retirement plan consulting, fiduciary support, investment advisory services, business development, or related experience.
• Demonstrated ability to develop and maintain long-term client relationships.
• Experience generating new business through referrals, networking, relationship development, and consultative sales.
• Strong knowledge of qualified retirement plans, including 401(k), 403(b), 457, and defined benefit plans.
• Strong understanding of ERISA fiduciary responsibilities, including Sections 3(21) and 3(38).
• Excellent written communication, presentation, and interpersonal skills.
• Exceptional organization, follow-through, and attention to detail.
• Strong working knowledge of Microsoft Office applications.
• Demonstrated self-motivation, professionalism, and accountability.
• Active Series 65 license required.
• Ability to travel locally and nationally as needed.

SWBC offers:

• Competitive overall compensation package
• Work/Life balance
• Employee engagement activities and recognition awards
• Years of Service awards
• Career enhancement and growth opportunities
• Leadership Academy and Mentor Program
• Continuing education and career certifications
• Variety of healthcare coverage options
• Traditional and Roth 401(k) retirement plans
• Lucrative Wellness Program
• Based upon employee eligibility

Additional Information:

SWBC is a Substance-Free Workplace and requires pre-employment drug testing. Please note, SWBC does not hire tobacco users as allowed by law.

SWBC is a diversified financial services company providing insurance, mortgage, and investment services to financial institutions, businesses, and individuals. Headquartered in San Antonio, Texas, SWBC employs 2,400 people nationwide. At SWBC, you are not just an employee number, but a vital team member; each employee stands out and has the ability to make a direct impact at SWBC. We're looking for the brightest and most creative to help introduce new solutions to new problems identified in the market and improve how our existing solutions can better help our users. SWBC is a big proponent of nurturing the entrepreneurial spirit through mentorship, continuing education, internal career growth opportunities and having a platform to make meaningful changes come to life.

Join Our Team Great People. Great Company. Great Place to Work.