Investment Advisor (401K Retirement Plans)
Core
Provide superior ongoing investment advisory services and fiduciary support exclusively for retirement plans (401(k), 403(b), 457, defined benefit) to plan sponsors, while driving new business development.
Role type
Senior Investment Advisor (Retirement Plans)
Builds
Client relationships and recurring revenue streams for retirement plan advisory services
Domain
Financial Services / Retirement Planning / Fiduciary Advisory
Deliverable
client delivery
Required skills
Retirement plan structures and terminology, Fiduciary principles (ERISA 3(21)/3(38)), FINRA requirements, Sales strategy formulation, Investment acumen
Preferred skills
Business development, Networking, Conference speaking, RFP management
Technologies
Microsoft Office, Proprietary research tools
Responsibilities
Execute disciplined consulting and fiduciary responsibility for client retention, Participate in quarterly Investment Committee meetings, Maintain compliance with SEC, Federal, and state regulations, Coordinate and prepare materials for client meetings, Review and provide quarterly monitoring reports, Develop and advise clients on investment options, Conduct record keeper benchmarking fee analysis, Generate sales of advisory services to employers, Consult on Advisory Services Agreements and Investment Policy Statements, Represent firm at financial and investment conferences
Seniority
Senior, hands-on IC with business development focus