Senior Wealth Advisor

Modern Wealth Management; Carlsbad (CA); On-site; USD 180,000 - 350,000; Full time

Benefits offered by this job

Generous continuing education support

100% company paid health, dental & vision coverage

4% Company 401k match, 100% vested

Diversity, equity & inclusive culture

Job summary

A leading financial services firm in California is seeking a Senior Advisor to manage top clients and drive business development. The ideal candidate will have a bachelor's degree in finance and a CFP certification, with at least 10 years of experience. Responsibilities include overseeing client reviews, mentoring staff, and ensuring compliance. This role emphasizes diverse perspectives, fostering an inclusive workplace, and offering generous employee benefits, including health coverage and 401k matching.

Qualifications

• A bachelor's degree in finance, economics, business administration, or a related field is typically required.
• Certification such as Certified Financial Planner (CFP) is mandatory.
• 10 years of experience in financial planning or a related field is needed.

Responsibilities

• Conduct all Get to Know meetings.
• Manage top 20% of the team’s client reviews.
• Dedicate at least 80% of time in business development.
• Train, coach, and mentor advisory staff.
• Oversee compliance operations.
• Oversee compliance operations to high standards.
• Contribute to investment management decisions for clients.

Skills

Financial planning

Investment management

Business development

Client relationship management

Leadership

Compliance oversight

Strategic client acquisition

Education

Bachelor's degree in finance, economics, or related field

Certified Financial Planner (CFP)

Job description

Senior Advisors are the most experienced advisors in the firm. They have two primary job functions: work with top 20% of the most profitable and/or complicated clients in the firm and the remaining 80% developing new client relationships. They also spend a significant amount of their time overseeing, training, and supervising other staff members. They are responsible for overseeing the top tier clients who generate a significant amount of revenue for the firm and identifying markets and other potential clients to bring into the firm. A portable book of existing clients is a plus, but not necessary.

Primary Duties

• Conduct all Get to Know meetings
• Manage top 20% of the team’s client reviews.
• Dedicate at least 80% of time in business development.
• Work with management team on improving client/prospect experience.
• Manage & develop Lead and Associate Advisors.
• Collaborate on new marketing strategies, programs, segments, and services models to drive new clients to the firm.
• Train, coach, and mentor entire advisory staff to ensure the highest level of client service, professional knowledge, and competence.
• Oversee the compliance operations and ensure they are being adhered to at the highest level of excellence.
• Serves on investment management committee or helps determine firm investment strategies for clients.

Requirements

• A bachelor's degree in finance, economics, business administration, or a related field is typically required. Certification such as Certified Financial Planner (CFP) is required.
• 10 years experience in financial planning, investment management, or a related field.
• Generous continuing education support
• 100% company paid employee only premiums for Health, Dental & Vision Coverage
• 4% Company 401k match, 100% vested

At Modern Wealth Management, we are committed to fostering a diverse, equitable, and inclusive workplace where all employees feel valued, respected, and empowered. We believe that a variety of perspectives and backgrounds strengthens our team and enhances our ability to serve our clients. We welcome and encourage applicants of all backgrounds, experiences, and identities to apply.