Investment Advisor

SWBC - Austin, TX

Full-time - Mid Level

Austin, TX

Insurance Carriers and Related Activities

About the position

SWBC is seeking a talented Investment Advisor to provide superior ongoing service for the retention of current clients and to develop new client relationships focused on retirement plans. This role involves delivering investment advisory services, maintaining compliance, and generating sales of advisory services for retirement plans, while also making a meaningful difference to organizations and their retirement plan participants.

Responsibilities

• Provide superior ongoing client service and retention of existing clients through execution of SWBC's disciplined approach to consulting and fiduciary responsibility.
• Participate in quarterly internal Investment Committee meetings.
• Maintain and respond to all ongoing compliance requirements.
• Coordinate, schedule, and prepare materials for all meetings with clients and their respective recordkeeping contacts.
• Maintain regular communication with plan sponsor clients and their recordkeeping contacts.
• Review and provide quarterly monitoring reports to clients.
• Develop and advise clients on investment options available under their retirement plans using proprietary research tools.
• Coordinate and present committee education and training, as well as participant education and one-on-one meetings.
• Provide clients with an Annual Due Diligence packet each year.
• Conduct record keeper benchmarking fee analysis as needed.
• Conduct Invitation to Compete for clients or prospects as needed.
• Generate sales of advisory services for retirement plans through networking, referrals, and attending national conferences.
• Develop relationships with centers of influence for additional referrals.
• Develop targeted markets and report business development progress to senior management.
• Implement referral campaigns with existing clients.
• Consult with potential clients on the Advisory Services Agreement and Investment Policy Statement.
• Assist in the completion of prospective client RFPs and onboarding new clients.
• Research new speaking and conference options to generate new prospects.
• Represent SWBC at financial and investment conferences to generate consultations and report sales activities.

Requirements

• Bachelor's Degree, preferably in Business, Finance, or related field.
• More than seven (7) years' experience developing new business and delivering retirement investment advisory and fiduciary support.
• Ability to build, grow, and sustain a book of retirement plan clients.
• Strong retirement investment acumen and knowledge of retirement plan structures and terminology.
• Strong understanding of fiduciary principles under ERISA Sections 3(21) and 3(38).
• Strong understanding of sales strategy formulation and reporting.
• Strong working knowledge of Financial Industry Regulatory Authority (FINRA) requirements.
• Excellent communication (verbal and written), presentation, organization, and interpersonal skills.
• Solid working knowledge of all Microsoft Office applications.
• Self-starter, highly motivated, and able to work independently while exercising sound judgment.
• Possess a Series 65 license.

Benefits

• 401(k)
• Health insurance
• Wellness program