Investment Advisor Job Description
Investment Advisor Duties & Responsibilities
To write an effective investment advisor job description, begin by listing detailed duties, responsibilities and expectations. We have included investment advisor job description templates that you can modify and use.
Sample responsibilities for this position include:
Investment Advisor Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Investment Advisor
List any licenses or certifications required by the position: PMP, TOGAF, VM, CISA, ITAM, CSAM, ITIL, CMT, FRM, MBA
Education for Investment Advisor
Typically a job would require a certain level of education.
Employers hiring for the investment advisor job most commonly would prefer for their future employee to have a relevant degree such as University and Collage Degree in Education, Military, Business, Finance, Economics, Graduate, Health Insurance, Management, Finance/Economics, History
Skills for Investment Advisor
Desired skills for investment advisor include:
Desired experience for investment advisor includes:
Investment Advisor Examples
Investment Advisor Job Description
- Recommend an appropriate mix of funds, explaining the funds’ characteristics, how they differ from other funds, and why they are the most appropriate funds for the client
- Work closely with outside professionals to add value for existing and potential mutual clients
- Book Wealth Management client meetings and follow through with the team and clients on actionable items
- Educate and consult with plan participants on the Advisory Services available through their plan the methodology behind the services to assist the participant reach their retirement goals
- Must possess knowledge of the participant’s financial portfolio objectives, asset composition and past historical information
- Must be able to explain and justify past returns in comparison to economic environment, while acknowledge goal of managed account services
- Identifies, executes and follows up on opportunities to contract additional client assets while providing client retirement planning discussions
- Identifies trends and determines proactive solutions to maximize service quality and increase assets under management
- Make assigned and proactive outbound calls, focusing on defined objectives set for outbound call campaigns
- Goals and results oriented with high level of accountability to produce positive results that directly correlate to retention and increasing assets under management and participant growth for managed accounts
- CAIA or CFA is preferred
- Must be able to drive the fund sales in North Asia
- CSC and CPH preferred
- Registration as Registered Representative (RR) preferred
- Ability to generate new contacts through networking, cold calling, prospecting, referrals, seminars
- Knowledge of and ability to use various techniques to design and implement investment strategies according to investment objectives to provide effective portfolio management and to maximize investment returns
Investment Advisor Job Description
- Document information from conversations in with clients pertinent to business and relationship development to be referenced for follow-up calls
- Sales and Services
- Passion for delivering exceptional client service
- Unprecedented will to strive for excellence in a performance driven environment
- Assisting the client in implementing the strategy through assisting them in building portfolios by providing detailed information and comparisons of investment funds
- Take clients through a profiling and needs assessment process in order to determine appropriate asset allocation
- Accept client trades and instructions over the phone while ensuring these are consistent with client Investor Profile information and adhere to all compliance and regulatory requirements to the highest ethical standards
- Identifying and providing solutions to a wide range of client needs including investments, banking, credit, FX (Foreign Exchange) and wealth structuring (trusts )
- Strong, proven consultative sales skills Negotiation and problem solving skills to identify and address issues
- Research, plan and build community investment partnership plans to assist regional representatives in adding capacity in communities and building long lasting relationships in key regions where we operate
- Annually reviews fees and asset mix for each relationship
- Ensures completion and consistent review of an Investment Policy Statement and Individual Wealth Plan for each relationship
- Accountable for positive net growth in assets under management
- Accountable for referring Investment only clients to Relationship Manager to increase banking and lending product sales
- Uses expense budget appropriately to support Client and business activities
- Records Client correspondence, communications, meetings and sales activity in SalesForce.com as appropriate
Investment Advisor Job Description
- Advise on appropriate budget level to support strategy in line with Community Investment vision
- Develop activation plans, including business cases to demonstrate the strategic value of partnerships
- Develop and execute partnerships in collaboration with Community Relations and Communications Advisors
- Leverage, track and report on success of partnerships
- Assess existing partnerships and advise on further leveraging opportunities and strategic value
- Investment advisors will have significant interaction with key stakeholders from across the business including banker teams, Investment Solutions product areas, wealth advisory and investment services, to name a few
- Within the context of their local team and across Investment Solutions, an investment advisor is expected to contribute to idea generation, product development and the ongoing enhancement of the investment proposition
- The IA will deliver wide ranging investment content as a thought leader at banker team meetings, larger business investment briefings and external conferences/presentations where required
- Strong consultative, negotiation and problem solving skills to identify and address client needs
- Responsible for supporting investment projects for IC or board approval and validating business cases
- Ensures proper administration of Client accounts and coordination of services in compliance with Company policies and applicable laws and regulations
- Ensures all new relationships are following proper account acceptance guidelines
- Ensures only approved products and services are sold to HNW clients in conjunction with Regulatory, Firm and division policies
- Responsible for fostering and contributing to a positive and constructive work environment with a focus on supporting the overall Wealth team
- 2 years Financial Industry Experience or recent college graduate with appropriate business/finance degree
- FINRA Series 65 registration will be required within 90 days of hire
Investment Advisor Job Description
- The senior investment advisor must an efficient and clear communicator to stakeholders and decision makers
- You will work with all levels of our organization which requires a clear understanding of the level of quality and commitment required to meet ambitious targets and constantly improve our business and investment projects
- Passionate about speaking with people and delivering exceptional service and advice
- Eagerness to expand knowledge and learn new skills
- Lead efforts to provide comprehensive analysis and guidance on industry trends, legislative and regulatory changes
- Review, interpret, assistance and oversight of compliance with newly enacted and existing laws and regulations that impact the Registered Investment Advisor and Digital Advisor
- Governance over the algorithm and electronic trading systems
- Responsible for administering code of ethics, attestations, and the overall compliance program
- Make strategic/operational recommendation to business partners and design creative solutions for complex customer needs
- 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
- History of high achievement demonstrated by a proven record of exceeding goals and outperforming peers
- Comfortable working in a call center
- Obtain Series 65 Uniform Investment Advisor Law license as a condition of employment and desire to obtain Chartered Retirement Plan Counselor (CRPC®) designation
- Bachelor Degree in Commerce, Accounting, Sales management
- The job holder must have experience of or at least be at ease with clients from differing social, religious, ethnic and cultural backgrounds
- Must have a minimum of 5 years in a frontline customer contact role, preferably with previous exposure to a wide range of client segments
Investment Advisor Job Description
- Proactive Account Management with dedicated alignment
- Investment Maximization and helping customers realize the value
- Responsible for governance, which involves designing processes, procedures and long term technology road map to maximize value creation in accordance with Software Investment Advisory’s objectives
- Provides constructive feedback during customer facing account reviews to ensure continuous services improvement and innovations
- Drives strategic discussion with multiple stakeholders at various levels (including C level) and delivers professional presentations and tenders up to Board level
- Builds strong relationship internally and externally and acts as a facilitator for the flawless execution of Software Investment Advisory’s services
- Leads and contributes towards multiple virtual project teams aimed towards improving customer engagement and service enablement
- Owns the success of your activity against KPIs such as customer satisfaction, activity outcomes and service delivery timelines
- Creates systematic business planning, monitoring and reporting of your activity for assigned area
- Supports peers in acquiring experience
- A good knowledge of the Bank’s global representation and correspondent network, the Bank’s Global Premier network and an awareness of the Bank’s international trade products
- Computer literacy and basic knowledge of Microsoft Office Suite software Word, Outlook / outlook express and IE
- Be willing to travel internally within SA
- Bachelor's degree preferred with an emphasis on business and communications
- We need a candidate who possesses very good analytical background
- At least 3 – 5 working experience in private bank, fund management.Fresh grads can be considered with outstanding potential