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 IC 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)), Sales strategy formulation, FINRA requirements, Series 65 license
Preferred skills
Business or Finance degree, Experience with recordkeeping benchmarking, Invitation to Compete processes
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 present quarterly monitoring reports and Annual Due Diligence packets, Develop and advise clients on investment options using proprietary tools, Generate sales of advisory services to employers through networking and conferences, Conduct record keeper benchmarking fee analysis and Invitation to Compete RFPs, 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