Wealth Management Analyst Trainee

Hilltop Securities Inc.; Dallas (TX); On-site; USD 55,000 - 72,000; Full time

Benefits offered by this job

Firm-sponsored Series 7/66 CFP

Mentoring and sponsorship

Tuition reimbursement

Professional development opportunities

Job summary

HilltopSecurities in Dallas is launching a twelve-month Wealth Management Specialist development program to accelerate a long-term career as a Wealth Advisor. Associates will work from our Dallas headquarters, handling real client and advisor work from day one and are trained to become planning-led advisors.

The program sponsors Series 7 and Series 66, CFP education, and a curriculum across technology, products, sales, practice management and financial planning with rotations through Advisory

Qualifications

• Bachelor's degree required; Finance, Financial Planning, Economics or Accounting preferred.
• Strong interest in building a long-term career as a Wealth Advisor.
• Client-facing aptitude, with excellent verbal and written communication skills.
• Strong analytical, critical thinking and quantitative skills.
• Able to work extended hours and on-site at the Dallas HQ.

Responsibilities

• Take client calls on the extended-hours trading desk under supervision.
• Provide home office client service and account support (openings, withdrawals, maintenance).
• Build a book of business by following lead sources.
• Use defined client process from prospecting and discovery to plan delivery and onboarding.
• Shadow client meetings and participate in weekly sales sessions and role-plays.

Skills

Client-facing

Verbal & written communication

Analytical thinking

Time management

On-site collaboration

Education

Bachelor's degree

Finance/Economics/Accounting background

Tools

Microsoft Office

Job description

HilltopSecurities is looking to hire five Wealth Management Specialist. This will be a twelve-month development program for people starting a long-term career as a Wealth Advisor. Associates join a centralized, licensed home office branch at our Dallas headquarters. They will do real client and advisor work from day one and are trained to become planning-led advisors. Education Associates are sponsored to complete the Series 7 and Series 66 licenses, along with CFP® education, and the firm pays the cost. They also complete a structured curriculum in five areas:

• Technology Stack
• Products
• Sales Process
• Practice Management
• Financial Planning

Throughout the program, specialist will rotate through Advisory Services, Advisor Transitions and the Home Office Branch to learn how the firm works end to end. The role grows in three stages. Specialists start with client coverage and service. They then build a book of business by working the firm's lead sources. Finally, they move into advisor succession and teaming arrangements with established advisors. Responsibilities Essential Functions

• Take client calls on the extended-hours client-directed trading desk under supervision, including order-based conversations and account servicing.
• Provide home office client service and account support, including account openings, withdrawals, maintenance and service requests.
• Provide coverage and service for unassigned (orphaned) client accounts.
• Once licensing and training are complete, work referral and lead flow from firm and affiliate sources and turn it into new client relationships.
• Use the firm's defined client process, from prospecting and discovery through plan delivery, close, onboarding and ongoing service.
• Build, analyze and present financial plans, with planning as the lead offering.
• Keep CRM activity, pipeline stages and required fields complete and accurate, following the firm's process.
• Shadow client meetings and calls and take part in weekly sales sessions and recorded role-play exercises.
• Complete one classroom week each month for the first five months, plus a written module check and manager sign-off for each area.
• Work toward advisor succession, teaming and junior-partner arrangements with established advisors as readiness is shown.
• Follow all supervisory, compliance, reporting, audit and retention standards, and elevate risk-related issues as appropriate.
• Assist with special projects and initiatives as assigned by the manager.

Licensing And Certification Requirements

• SIE (Securities Industry Essentials) must be passed before the start date.
• Series 7 and Series 66 must be obtained within 120 days of hire.
• CFP® certification must be pursued. CFP® education begins once the Series 7 and 66 are complete, and continued progress is required to remain in the program.
• Associates do not work in an advisor capacity until securities licensing is complete, CFP® education is underway and all five training areas are completed and signed off.

Qualifications Job Requirements

• Bachelor's degree required; Finance, Financial Planning, Economics or Accounting preferred.
• Strong interest in building a long-term career as a Wealth Advisor.
• Client-facing aptitude, with excellent verbal and written communication skills.
• Strong analytical, critical thinking and quantitative skills.
• Able to work extended hours, including evening and off-hours shifts, to support client coverage.
• Able to work on-site at the Dallas, TX headquarters. Candidates outside Texas must relocate to Dallas.
• Self-starter and quick learner who can follow a defined process and take coaching.
• Proficient in Microsoft Office and comfortable learning new technology platforms.
• Detail-oriented, with strong organizational and time management skills.
• Comfortable in a fast-paced, dynamic environment.
• Sound judgment, integrity and a customer-focused mindset.

Why Join Us?

• A defined, visible pathway to becoming a Wealth Advisor.
• Firm-sponsored Series 7, Series 66 and CFP® education.
• Structured classroom training from the leaders who run each discipline.
• Mentoring and sponsorship from an advisor or manager invested in your progress.
• Recognized milestones for licensing, training completion and CFP® progress.
• Early, meaningful client work and the chance to build your own book of business.

The above statements are intended to describe the general nature and level of work being performed by individuals in, or assigned to, the above position and are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required, and may be changed at the discretion of the Company. About Us At HilltopSecurities, we believe in building noble and collaborative relationships that enrich the financial future of individuals, businesses and communities. With an extensive portfolio of products, we deliver a broad range of investment banking and related financial services that help our clients achieve their definition of success. As a subsidiary of HilltopHoldings, which also encompasses PlainsCapital Bank, and PrimeLending, we have the financial strength and stability that has withstood the test of time. Our nationwide presence in 400 locations across 44 states provides our associates with extensive opportunities to grow their careers in a diverse organization that truly values relationship capital above all else. About The Team HilltopSecurities' Wealth Management department values its relationship-based approach to serving clients. Through our Private Client Group, we provide highly customized sound financial planning across a range of investment objectives and products. Our Wealth Management professionals deliver a full suite of services for investors such as helping to build wealth, analyzing financial status and goals, advising on investment strategies, developing new business opportunities, and welcoming new clients. You will also be able to learn and deliver behavioral financial concepts to clients, forge relationships with community and business leaders, and learn from experienced financial professionals about how to fully support the individuals you serve. Our Clearing department supports more than 130 broker-dealers and Registered Investment Advisors who provide institutional and financial services through industry experts. We aim to mitigate risk, realize competitive returns, and meet investing objectives. As one of the nation’s largest licensed broker-dealer clearing firms, we are focused on building long-term client relationships based on trust and personal service. As a part of our Wealth Management team, you will also be encouraged to take advantage of our professional development opportunities. This includes FINRA series exam sponsorship, tuition reimbursement, working with a mentor, and support from employees of all levels. Wealth Management at HilltopSecurities will give you the fulfilling experience of building meaningful relationships that allow you to fully serve clients in their best interest.