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Company Contact Info

  • Austin, TX
  • SWBC

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Investment Advisor

SWBC • Austin, TX

Posted 12 days ago

Job Snapshot

Accounting - Finance

Job Description

SWBC has been recognized as one of the Best Companies to Work for in Texas and has an exciting opportunity for the right individual to join an energetic and seasoned team, with an established and expanding national firm.

Headquartered in San Antonio, SWBC is a diversified financial services company providing a wide range of insurance, mortgage, and investment services to financial institutions, businesses, and individuals. With offices across the country, SWBC is committed to providing quality products, outstanding service, and customized solutions in all 50 states.


Builds a client base and provides ongoing investment advisory services focused exclusively on retirement plans for plan sponsors.

  • Generates sales of advisory services for retirement plans directly to employers through product knowledge, networking, and attending national conferences to promote SWBC services which include fee benchmarking, investment reviews, fiduciary oversight, and vendor searches.
  • Consults with potential clients on the Advisory Services Agreement and Investment Policy Statement to ensure their thorough understanding of the fiduciary process and risk management services SWBC provides.
  • Develops and advises clients on investment options that are available under various retirement plans by analyzing several institutional research data investment analysis platforms such as Morningstar Direct.
  • Represents SWBC at financial and investment conferences to generate consultations, quotes, or follow-up opportunities, attends institutional level investment committee meetings, and reports sales activities and results through
  • Ensures all required compliance agreements, file, reports, new client documentation, and the like are completed and maintained in accordance with SEC, Federal, and state regulations.

  • Must have a Bachelor's Degree in Business, Finance, or related field.
  • MBA preferred.
  • Must have more than seven (7) years developing new business, retirement investment advisory and fiduciary support, or related experience preferably in financial services, legal or credit union environment.
  • Experience with Morningstar Direct and preferred.
  • Must have a demonstrated ability to build and sustain client growth.
  • Must have a strong retirement investment acumen and demonstrated knowledge of retirement planning structures and terminology.
  • Must have a strong understanding of fiduciary principles under ERISA Section 3(21).
  • Must have a strong understanding of sales strategy formulation and reporting.
  • Must have a strong working knowledge of Financial Industry Regulatory Authority (FINRA) requirements.
  • Must have excellent communication (verbal and written), presentation, organization and interpersonal skills.
  • Must possess a working knowledge all Microsoft Office applications to include PowerPoint and Access.
  • Must be a self-starter, highly motivated, and be able to work independently while exercising sound judgment.
  • Must possess a Series 66 license.
  • Must be able to stand and/or sit for long periods of time while performing sales, consultations, report generation, and the like.
  • Must be able to stoop, kneel, and lift 10-20 lbs. of files, presentation equipment, or other office items.
  • Must be able to travel locally, state-wide, and nationally.


SWBC is a Substance-Free Workplace and requires pre-employment drug testing.

Please note, SWBC does not hire tobacco users as allowed by law.

SWBC offers an excellent employee benefits package that includes: 401(k) with company match, medical/dental, Life, Long Term Disability, Accidental Death and Dismemberment, and Long Term Care insurance policies. SWBC also provides opportunities for professional growth. To learn more about SWBC, visit our website at If interested, please click the appropriate apply button. Only those candidates who meet the minimum requirements need apply.
Job ID: R0003616-1-1560
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