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Financial Advisor

Financial Advisor

Job Description

Vanguard, one of the world's largest investment management companies and a recognized employer of choice, seeks a Financial Advisor to develop and maintain an ongoing partnership with a range of clients through regular, meaningful contact. You will communicate our investment philosophy and recommendations in a clear and concise manner and to work well within a collaborative team environment.

Your primary Duties and Responsibilities:

  • Reviews client data to verify/understand client goals and objectives, taking Vanguard and non-Vanguard assets into consideration. Partners with Senior Advisors on more complex accounts. Develops a thorough understanding of each client's financial situation and tolerance for market risk in order to create and discuss a suitable asset allocation strategy based upon RMA's investment methodology.
  • Engages clients with simple to complex financial situations in the financial planning process covering topics such as investment planning, accumulation and cash flow (retirement) planning, and college planning. Identifies and discusses appropriate savings or spending strategies for near retirees or retirees. Selects appropriate investments to accomplish those strategies utilizing both Vanguard and non-Vanguard assets. Develops written implementation plans to document and communicate the strategies.
  • Communicates recommendations to clients during consultations demonstrating the highest level of client relationship skills. Creates a positive interactive environment for the client to discuss their issues as well as their questions. Uses the consultation, where appropriate, to educate the client on RMA financial planning philosophies and rationales.
  • Manages client portfolios on a long-term basis. Produces and reviews performance reports and conducts periodic reviews of portfolios. Addresses each client's ongoing advisory and estate planning issues and provides annual reviews of each client's financial situation.
  • Implements the investment strategy; initiates and documents exchanges and transactions; complies with RMA methodology and investment guidelines; and maintains organized client files which meet department compliance standards.
    Continues to build client base, retain existing clients, assist clients with consolidating assets at Vanguard, and participate in business development calls and meetings.
  • Learns and supports VUE principles along with Everyday Excellence principles in the planning practice, providing best practices and lessons learned. Works with RMA management, project team, and other stakeholders to create recommendations for how to improve the service model to meet the needs of client, crew, and business.
  • Promotes professional development by maintaining an in-depth understanding of financial planning, capital markets and the financial services industry. Keeps abreast of significant changes or developments (e.g. taxation, regulatory, legal, competitive, technical) within the fields of investments and financial services. Maintains all required licenses and designations current and in force.
    Maintains an in-depth understanding of compliance, regulatory and departmental policies and procedures. This includes obtaining a thorough knowledge of the regulatory requirements of the Bank Secrecy Act (BSA) and RMA's internal BSA compliance and anti-money laundering policies and procedures.
    Mentors new hires and apprentices.
  • Utilizes strong written and verbal communication skills to build and strengthen client relationships, including a mastery of Client Relationship Management (CRM) skills.
  • Participates in special projects and performs other duties as assigned.

The Ideal Candidate Should Possess:

  • Undergraduate degree or equivalent experience.
  • Certified Financial Planner designation required.
  • Minimum of three years related financial planning and client relationship management experience.
  • Track record of increasing responsibilities and success in prior roles.
  • Strong investment orientation and interest in providing asset management.
  • Extensive knowledge of Vanguard funds and Vanguard investment/retirement methodology.
  • Excellent writing, speaking and client relationship skills.
  • Outstanding positive attitude with the ability to effectively manage change.
  • Ability to work independently and as a team member, balances multiple responsibilities simultaneously, and demonstrates exceptional time-management skills.   

Special Factors
Occasional travel may be required to Vanguard sites or local/national professional conferences.

Vanguard is not offering visa sponsorship for this position. Additionally, employment is contingent on a successful drug-screening result.


Job Requirements

 

Job Snapshot

Employment Type Full-Time
Job Type Customer Service, Finance
Education Not Specified
Experience Not Specified
Manages Others Not Specified
Relocation No
Industry Accounting - Finance
Required Travel Not Specified
Job ID 119896
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Financial Advisor


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