Insight Global
Financial Advisor – Three‑Year Program
The Financial Advisor (FA) role is a three‑year program with a forgivable draw, for financial advisors or planners who will be providing financial planning guidance and selling investment management solutions. A FA will need to leverage their experience to service the unique and complex needs of wealth clients by reviewing financial goals and making investment recommendations aligned to their client's goals. The role will serve as the central point of contact, responsible for providing client service and developing the relationship to achieve greater share of wallet by helping clients achieve their goals related to asset accumulation, preservation, growth, and protection.
Base Pay Range $85,000.00/yr - $102,000.00/yr
Responsibilities
Experience selling investments and providing financial plans
Demonstrates a commitment to being customer‑centric by delivering legendary service during every customer interaction to maximize retention and growth
Ensures all NEW clients receive the complete on‑boarding experience, which includes: a thorough client discovery, completion of a financial needs analysis to provide goals‑based advice, an introduction to the centralized client servicing team as per client need, and completion of all requisite client documents
Ability to partner and promote lead generation
Manages goals, prioritizes tasks and comfortable working in a fast paced environment
Ensures all new & existing clients are provided with a planning experience
Effectively implement a process to ensure every client receives an Annual Client Review (ACR) meeting with an enhanced agenda focused on the client’s overall wealth needs, as well as pro‑active contacts
Serves as the primary point of contact for Wealth client relationships; manages all aspects of the client’s relationships with Bank and refers to Retail and Wealth partners & affiliates as needed
Implements and executes a differentiated service model/experience for Wealth clients
Meets quarterly and annual sales goals
Deepens wallet share by anticipating client needs and suggesting the most appropriate Wealth solutions. Maximizes profitability, while ensuring the client receives an exceptional client experience
Identifies opportunities within your portfolio and network to refer business to Retail and Small Business/Commercial Partners
Executes in thorough manner that is compliant with regulations, policies and procedures
Adheres to all federal, state, SRO regulations and Firm policies related to all business activities (e.g. OCC, SEC, State Insurance Commissioners, NY Department of Financial Services, etc.)
Ensures all Continuing Education requirements are attained
Responsible for understanding and adhering to Bank & Wealth Policies and Procedures
Responsible for implementing Customer Identification Program (CIP) by collecting and verifying required customer identification information, and performing other Customer Due Diligence and Enhanced Due Diligence Requirements as outlined in the Business Unit AML procedures
Uncovers client's asset and transitions higher threshold clients to appropriate HNW Wealth partners as needed
Responsible for fostering and contributing to a positive and constructive work environment with a focus on supporting the overall Wealth team
Provides coaching, Wealth referral training & on‑going feedback to Retail and Small Business staff
Contributes individually, as a team member and as a mentor to new FAs, to ensure strong performance, collaboration and enthusiasm
Represents Wealth to the general public in a professional manner
Is involved in the community and support charity and community initiatives
Required Skills and Experience
Bachelor’s degree strongly preferred
2+ years of providing advice, planning and investment sales SIE, Series 7, Series 63 required
Required to have L&H and Series 66 (or equivalent) or the ability to obtain all within the Licensing and Registration Schedule Self‑directed, with strong ability to plan own activities to achieve sales and referral goals
Seniority Level Mid‑Senior level
Employment Type Full‑time
Job Function Finance, Business Development, and Strategy/Planning
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Base Pay Range $85,000.00/yr - $102,000.00/yr
Responsibilities
Experience selling investments and providing financial plans
Demonstrates a commitment to being customer‑centric by delivering legendary service during every customer interaction to maximize retention and growth
Ensures all NEW clients receive the complete on‑boarding experience, which includes: a thorough client discovery, completion of a financial needs analysis to provide goals‑based advice, an introduction to the centralized client servicing team as per client need, and completion of all requisite client documents
Ability to partner and promote lead generation
Manages goals, prioritizes tasks and comfortable working in a fast paced environment
Ensures all new & existing clients are provided with a planning experience
Effectively implement a process to ensure every client receives an Annual Client Review (ACR) meeting with an enhanced agenda focused on the client’s overall wealth needs, as well as pro‑active contacts
Serves as the primary point of contact for Wealth client relationships; manages all aspects of the client’s relationships with Bank and refers to Retail and Wealth partners & affiliates as needed
Implements and executes a differentiated service model/experience for Wealth clients
Meets quarterly and annual sales goals
Deepens wallet share by anticipating client needs and suggesting the most appropriate Wealth solutions. Maximizes profitability, while ensuring the client receives an exceptional client experience
Identifies opportunities within your portfolio and network to refer business to Retail and Small Business/Commercial Partners
Executes in thorough manner that is compliant with regulations, policies and procedures
Adheres to all federal, state, SRO regulations and Firm policies related to all business activities (e.g. OCC, SEC, State Insurance Commissioners, NY Department of Financial Services, etc.)
Ensures all Continuing Education requirements are attained
Responsible for understanding and adhering to Bank & Wealth Policies and Procedures
Responsible for implementing Customer Identification Program (CIP) by collecting and verifying required customer identification information, and performing other Customer Due Diligence and Enhanced Due Diligence Requirements as outlined in the Business Unit AML procedures
Uncovers client's asset and transitions higher threshold clients to appropriate HNW Wealth partners as needed
Responsible for fostering and contributing to a positive and constructive work environment with a focus on supporting the overall Wealth team
Provides coaching, Wealth referral training & on‑going feedback to Retail and Small Business staff
Contributes individually, as a team member and as a mentor to new FAs, to ensure strong performance, collaboration and enthusiasm
Represents Wealth to the general public in a professional manner
Is involved in the community and support charity and community initiatives
Required Skills and Experience
Bachelor’s degree strongly preferred
2+ years of providing advice, planning and investment sales SIE, Series 7, Series 63 required
Required to have L&H and Series 66 (or equivalent) or the ability to obtain all within the Licensing and Registration Schedule Self‑directed, with strong ability to plan own activities to achieve sales and referral goals
Seniority Level Mid‑Senior level
Employment Type Full‑time
Job Function Finance, Business Development, and Strategy/Planning
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