Servicing Advisor

Carolina Retirement Planners, LLC; Wilmington (NC); On-site; USD 75,000 - 90,000; Full time

Benefits offered by this job

Life & Health Insurance

401K with match

Maternity & Paternity leave

Sick leave

Paid CE & Licensing

Licensing and Designation Support

Dog friendly office environment

Job summary

Carolina Retirement Planners, based in Wilmington, NC, seeks a Servicing Advisor to conduct financial analyses, monitor plans, and deliver customized investment recommendations for less complex clients under Lead Advisor guidance. You’ll deepen client relationships, review retirement plans, document discussions, and ensure records comply with policy.

Requirements include a HS diploma, 3+ years in financial services or 2 years as advisor, Series 65, and licenses preferred or obtainable within 60

Qualifications

• High School Diploma is required.
• 3+ years of experience in the financial industry or 2 years in an advisor capacity.
• Series 65 or equivalent.
• Life & Health Insurance Licenses preferred or ability to obtain within 60 days of start date.
• Strong analytical, organizational, and communication skills.
• Ability to work across various platforms and operating systems.
• Ability to build strong, trust-based relationships with clients.
• Self-starter who takes initiative and works well independently.
• Demonstrates integrity and ethical conduct with confidential client information.

Responsibilities

• Serve as the primary contact for existing clients needing financial advice.
• Meet with clients to review retirement plans and present recommendations.
• Document discussions and assign follow-up actions.
• Maintain client files and records per compliance and policy.
• Prepare materials for upcoming meetings and perform case analyses.

Skills

Analytical

Organizational

Communication

Relationship building

Self-starter

Integrity

Education

High School Diploma

Job description

At Carolina Retirement Planners based in Wilmington, NC, we're redefining what an exceptional client experience looks like. As a fast-growing, values-driven, boutique wealth management firm, we're dedicated to helping retirees and pre-retirees Pursue Their Best Retirement through personalized advice and lifelong relationships. Everything we do is guided by our core values: Respect the Family by putting people first, Extreme Ownership in every interaction, always acting in our clients' Best Interest, delivering an Elite Experience at every touchpoint, and embracing Endless Evolution through continuous learning and improvement.

As the Servicing Advisor you will conduct financial analyses, monitor and adjust financial plans, and make customized investment recommendations for less complex clients with the guidance of the Lead Advisor. The Servicing Advisor is fully accountable for maintaining client files/records, handling day-to-day client management, advice delivery for clients, and client retention.

Key duties for this role include maintaining and deepening relationships with clients, meeting with prospects/clients typically transitioned from Lead Advisor, portfolio risk analysis, and providing investment recommendations based on research.

What You’ll Do:

• Serve as the primary point of contact for existing clients requiring financial advice
• Conduct client meetings to review their retirement plan, answer any questions and present recommendations/deliver advice
• After each meeting, document the discussion and delegate action items to the appropriate team
• Maintain client files and records in line with compliance and company policy
• Prepare information and materials necessary for upcoming meetings
• Perform case analysis and develop recommendations
• Communicate needs with Client Service team
• Participate in weekly staff meetings and appropriate departmental meetings
• Review work methods and procedures for possible improvement
• Review the following month’s client reviews and determine whether that is still an appropriate time for their annual or semi-annual review before handing it off for scheduling
• Review client database to ensure records and information are up to date
• Make out-going client courtesy calls
• Investment research for new products and services for clients

What We’re Looking For:

• High School Diploma
• 3+ years of experience in the financial industry or 2 years in an advisor capacity
• Series 65 or equivalent
• Life & Health Insurance Licenses preferred or ability to obtain within 60 days of start date
• Strong analytical, organizational, and communication skills
• Demonstrates strong proficiency and confidence working across various platforms and operating systems
• Skilled in building strong, trust-based relationships with clients by providing attentive, personalized service and guidance
• Self-starter who takes initiative and works well independently
• Demonstrates strong integrity and a commitment to ethical conduct, especially when handling confidential client information and financial matters

What You’ll Get:

• $75k-$90k/year based on experience + bonus potential
• Employer paid Life and Health Insurance
• 401K with match after 90 days
• Maternity & Paternity leave after 1 year
• Sick leave available immediately
• Paid CE & Licensing
• Licensing and Designation Support
• Dog friendly office environment

Schedule:

• In office: Monday – Thursday 9am-5pm, Friday 9am-4pm
• Some evenings and weekends required for client events

Presented by Advisor Talent Solutions

Advisor Talent Solutions, part of the AE Management, LLC family of companies, supports independent advisor businesses with their hiring needs. We are not the employer for this position. If you are selected, your employer will be the hiring business. Our team is your main point of contact initially and will guide you through the application process.

Learn more about our approach and services at advisortalentsolutions.com