Wealth Management Advisor

Sequent Planning is a registered investment adviser (RIA) committed to supporting its investment advisor representatives with everything they need to design holistic retirement plans that impact clients’ lives. 

More information is available on the company's website at: www.sequentplanning.com

SUMMARY

Responsible for managing home office book of business, supporting the national expansion of Sequent Planning, a registered investment adviser; including support for the Investment Adviser Representatives (IARs); and partnerships with independent insurance agents and agencies.

ESSENTIAL DUTIES AND RESPONSIBILITIES

• Responsible for management of the home office book of business, which includes regularly meeting with clients (in person; virtual and/or away from home office); Semi-annual (minimum) client reviews; ongoing review of client accounts; creation of performance reports, and management of client portals.

• Assists with the training and support of new IARs, which includes the technology platform, financial planning software, custodian platform (where applicable) and other opportunities.

• Supports the IARs by creating financial plans, helping with market research, answering  IAR questions, recommending investment strategies; answering client questions about financial plans and strategies; giving financial advice; and involvement in annual business planning meetings with IARs.

• Supports the partner’s business objective to become or add new IARs to their existing business model, or enter a referral arrangement and provide the full-range of IAR services to that client base from the Home Office, which will include business trips to meet clients in person.

• Acts as a main point of contact and deals effectively with queries from IARs and other parties through effective communication.

• Manages and resolves IAR service issues.

• Establishes and builds strong relationships with IARs and attends client meetings with IAR if required.

QUALIFICATIONS 

EDUCATION / EXPERIENCE 

Bachelor's Degree or combination of experience and education.

Four (4) or more years of financial services industry or related field experience

Series 65 (FINRA Series 6/7 + Series 66) or equivalent certification (CFA; CFP; ChFC; other)

Life & Health License a plus

SKILLS

Working knowledge of financial planning/advisory services and insurance services industries.

Working knowledge of and ability to use job specific tools and terminology.

Working knowledge of financial calculations.

Knowledge of the securities industry, financial planning and investment management.

Knowledge of budgeting and financial management principles and procedures.

Knowledge of systems management.

Knowledge of general office forms, processes and procedures.

Knowledge of the general industry procedures, practices and terminology.

Knowledge of program and project management including outcomes, quality assurance, and satisfaction measurement and interpretation.

Working knowledge, understanding of and ability to use ancillary tools, such as Microsoft/Outlook, Word, Excel, PowerPoint, Adobe Acrobat and SharePoint.

Skill in negotiating and problem solving to resolve internal and external conflicts

Skill in the use of office equipment including computer, fax, printer, telephone system, etc.

Skill in the use of time management and organization skills.

Skill in maintaining effective working relationships with all customers, employees and the general public.

Skill in project management.

Skill in communicating workflow spikes and seeking assistance when necessary.

Skill and ability to identify opportunities for program and/or process improvement.

Skill and ability to understand the interactions with Partner firms.

Ability to complete work in an efficient manner.

Ability to be a self-starter, motivated and accomplish goals and tasks within a given time frame.

Ability to approach and communicate with a wide range of personalities in a professional and courteous manner.

Ability to be patient and demonstrate controlled emotional affect in difficult situations.

Ability to engage in effective interpersonal interaction.

Ability to maintain a high level of organization and attention to detail while remaining flexible and responsive when faced with multiple urgent requests.

Ability to understand product suite from Covisum (subsidiary of Senior Market Sales).

Ability to interpret reports and transaction listings from investment platforms.

Ability to maintain all company policies, including all confidentiality and safety policies.

Ability to actively contribute to team effort.

Ability to work independently, exercise independent judgment, make and execute decisions.

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