Lead Advisor

I. MISSION

The Lead Advisor at The Lifewealth Group is an integral part of our team serving as the true connection between our clients, support team, and advisors. This great communicator, influencer and enthusiastic person will support the vision, positive culture and team spirit.

The Lead Advisor acts as an experienced advisor in the firm and manages existing client relationships.  They may develop new client relationships and/or train and supervise other staff members.  They are responsible for overseeing our core clients who have a significant impact of revenue for the firm.

A Lead Advisor will conduct client/client advisor(s) and front office personnel meetings and be able to lead the client/client advisor(s) through the decision-making process. This includes discussing the comprehensive plan, advance planning vehicles that are appropriate for complex client situations and the income gift and estate tax implication of each planning vehicle being considered. Complete coordination of the planning process with the client/client advisor(s).

II. ESSENTIAL RESPONSIBILITIES

Client and Advisory Engagement

• Leading, managing, and engaging directly with a group of clients to best support their financial, investments, and risk outcomes. Engages directly and is responsible for client retention and relationship with assigned key firm clients.
• Communicating with client to understand needs, objectives, goals, concerns and planning tools; communicating and representing client with those outside the organization, and other external sources to carry out the goals of client service. Ensures phones and visitors are answered promptly and professionally.
• Provide guidance and expert advice to management, client or other groups outside the organization on technical financial planning and investment planning needs, systems, or process-related topics.
• Checks the client’s investments on a quarterly or half-yearly basis to ensure all necessary needs and actions have been met.
• Analyzes information and evaluating results to choose the best solution to solve client or operational problems and being accountable and held responsible for those decisions.
• Identifies concerns, problems or opportunities within client accounts or households and notifying, updating or correcting the client information prior to it becoming a problem for the more professional advisors or the relationship with the client.
• Uses relevant information and individual judgment to determine whether events or processes comply with laws, regulations, or standards.
• Analyzes client information and evaluating results to choose the best solution and solve problems.
• Helps employees formulate and sharpen their financial/investment objectives
• Observes, receives, and otherwise obtains information from all relevant sources. Translating or explaining what information means and how it can be used.
• Identifies Objects, Actions, and Events by identifying information by categorizing, estimating, recognizing differences or similarities, and detecting changes in circumstances or events, both internally and externally in the organization.
• Makes Decisions and Solves Problems by analyzing information and evaluating results to choose the best solution and solve problems.

Compliance

• Supports Compliance to maintain an effective and robust investment advisory compliance program

III. POSITION SPECIFICATIONS

Experience and Education

• A bachelor’s degree
• CFP® or Similar required with pursuit of advanced degree or designation
• Series 7, 63, 65/66 required
• Ideally 6-10 years of experience in a in a direct advisory capacity in financial services
• Strong leadership experience preferred
• Experience with Securities, Financial Planning, Investments and Insurance required
• Experience working with various Custodian Platforms (Fidelity, Schwab, TD, etc.)

Skills and Knowledge

• Excellent communication skills (verbal, written and listening)
• Extensive knowledge in financial planning analysis and modeling
• Proficient in Microsoft Office Suite required
• Proficiency in FIRM CRM preferred
• Knowledge of Broker Dealer and Investment Advisory Regulations required
• Proficient in Google Apps / MS 360 / etc.
• Demonstrates personal integrity, honesty and is able to deal with confidential information on a daily basis.
• Ability to deal with stress in an ever-changing investment market and financial services
• Excellent time management and strong organizational skills, and ability to prioritize multiple tasks and anticipate potential problems.