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Join Our Teams

When you join Executive Wealth Management, you’re joining a culture surrounded by caring and passionate people who thrive in a collaborative environment. Apply to our current openings.

OB TITLE: Financial Servicing Advisor

REPORTS TO: Lead Advisor / HR Manager

FLSA STATUS: Salary/Exempted

COMPENSATION: $50K - $70K dependent on experience and licensing

Federally registered investment advisory firm seeks industry knowledgeable, experienced, dynamic service advisor to support and promote client relations and translate the core values of our firm (Trust, Community, Compassion) to ensure an exceptional client experience. RIA and Broker dealer experience is required. The majority of this role is focused on servicing existing relationships through annual reviews and day-to-day client service with some expectation for finding new assets within the existing client base. Other focuses of this role include: processing, trading and providing operational support to the firm’s investment advisors.

This self-motivated person should be a highly functioning multi-tasker willing and able to take on responsibility and meet deadlines, while staying extremely organized. This person will be at the hub of both client and operational communications and will need to work seamlessly with both and properly prioritize their day. This position requires exceptional client service skills both written and in person, as well as the ability to work well within a team setting and within their defined roles.

PRIMARY FUNCTIONS:

• opening accounts and processing paperwork,

• working with internal departments and/or directly with the client in solving service/operational issues,

• answering or providing information regarding procedural/sales questions,

• execute trades upon recommendations from the lead advisor,

• processing client service requests (address changes, statement copies, etc.),

• processing the movement of funds and equities,

• scheduling appointments for new and existing clients,

• monitoring and tracking referrals and sales results,

• maintaining compliance files,

• issuing sales/marketing information to clients,

• preparing sales packages,

• maintaining file system for prospective and existing clients,

• reviewing paperwork for completeness and forwarding to management for review,

• May be taking and executing unsolicited investment orders directly from client(s), and

• Utilize Salesforce, GeoWealth and other tools to manage client information and account processing, calendars, schedule appointments, and provide advisor and team all necessary items to successfully service clients.

REQUIREMENTS

• The right candidate would have a high proficiency in Microsoft Office Suite including Excel, Word and PowerPoint. Additionally, the right candidate would be computer savvy, a self-starter, intuitive, and motivated.

• A minimum of four years or similar work experience in an advanced supporting role in the investment field.

• Must be FINRA Series 65 licensed

• Client service focus with the ability to respond to requests in a timely manner

• Strong analytical skills with high attention to detail and accuracy

• Strong organizational, multi-tasking, and prioritizing skills

• Good verbal, written, and interpersonal communication skills

• Ability to provide administrative support, including responding to prospect/customer inquiries and requests for information

• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment

Job Expectations

• Maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. Additional requirements include meeting enhanced financial fitness and criminal background standards. EWM will initiate the FINRA review process at the time of offer acceptance.

EWM Benefits

At Executive Wealth Management, we’re family. From the moment you join the company you will be welcomed into our family! Did we mention that we also have snacks in the kitchen…at all times.

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Professional Development:
We don’t take professional development lightly here. We provide support for job-related designations and educational opportunities, establish a defined path to advancement and deliver ongoing performance feedback.

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Benefits Program:
Rest assured that you and your family’s health and income are an important consideration. Our benefits program is comprehensive and includes medical, prescription, dental and vision. The company also provides basic life insurance, short-term disability, long-term disability and long-term-care options.

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Make smart investment decisions for you:
The same investment philosophy that is applied to our client’s financial life management is available to our employees.

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Be a part of something greater:
Not only does the company donate to local charities, our branch offices join together to organize and participate in events to give back to the community.

Check the background of this firm on FINRA’s BrokerCheck.