Job Title: Senior VP – Financial Advisor

Reports To: CEO

Department: Sales Team

Salary Classification: Full Time – Straight Sales Commission

Goals & Objectives: Help clients achieve their financial goals. Provide client service that exceeds the Client’s expectations. Meet Company objectives for sales growth, client retention and customer service quality.

Responsibilities: To provide exceptional financial advice, financial plans and an annual review of status for clients assisting the client in pursuing the achievement of their financial goals. Provide leadership and mentor sales team members so that advice and services are provided in a manner that meets all of the expectations communicated to the client (high quality). Create a client relationship and environment where clients will continue to have trust in WEGA, will prefer doing business with us, will grow that business and will refer new clients to us.

Duties:

1. Meet with clients to discover financial goals and objectives.

• Meet with client to obtain additional planning information or to clarify / confirm information provided.
• Analyze client’s current investments and insurance policies.
• Present financial advice or plan to client.

2. Proactively follow-up with financial planning clients who have not implemented all aspects of the financial plan.

• Establish processes and procedures for tracking and closing future potential revenue.
• Follow-up on insurance opportunities and other relationship-based sales.
• Sign up clients for RIA services
• Prepare annual reviews.
• Offer clients a retainer fee service to include annual reviews.
• Explore other clients that may warrant annual reviews.
• Prepare a summary of holdings and current recommendations regarding life planning.
• Actively manage client relationships and client service.
• Regular telephone calls to the client
• Meetings with clients
• Correspondence and event marketing
• Placing trades and account management
• Provide outstanding client service
• Generate referrals
• Mentor and train individuals on his/her team in all technical areas of planning.
• Educate in the WEGA advice and planning process
• Educate in the overall financial planning matters

6. Review all areas of advice and the planning process, making recommendations for improvements in the process (including interdepartmental coordination)

7. Other duties, as assigned.

Position Requirements:

• Compensation - Straight sales commission on team sales (See attached grid)
• Must posses excellent analytical, organizational, and communication skills (both oral & written).
• Must be able to manage multiple projects at once
• Demonstrated ability to manage clients and team members effectively

Education/Certifications Requirements: See above

• Requires a 4-years degree in business, finance or economics (Or equivalent work experience)
• 5 or more years of experience in all areas of individual financial planning 
• Advanced designation desirable (CFP,CPA,MBA, etc)
• Series 7, 66 and insurance licenses

OSHA Requirements:

This position requires the ability to stand or sit for long periods of time, file documents in high or low cabinets, to use the telephone and to use the computer systems.

Levels of Authority:

To be determined.

Reporting:

The Sr. VP - FA reports to the CEO.

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