Financial Advisor

1 month ago

Reston, Virginia, United States Atria Wealth Solutions Full time
Job Summary

We are seeking a highly skilled Financial Advisor to join our team at Atria Wealth Solutions. As a Financial Advisor, you will be responsible for providing expert financial consulting services to our clients, helping them achieve their financial goals and objectives.

Key Responsibilities
  • Administer and document basic account activity and execution per Atria Wealth Solutions process and procedures and FINRA, NASAA, SEC regulations
  • Conduct periodic review of accounts to communicate account status, explain activities and keep clients aware of new offerings
  • Develop a beginning pipeline of internal/external referral sources in compliance with Atria Wealth Solutions policies and procedures and guidelines
  • Establish, maintain, and develop basic business relationships with clients and internal/external sources in assigned territory, moving towards more complex relationships as experience is gained.
  • Execute customer and broker purchase /sales orders of securities for current/new clients
  • Focus consulting for products and services supported by Registered Investment Advisory Firm in support of current market/ industry shift to managed assets and align with client needs
  • Identify prospective participation partners/opportunities through prospect calling, networking, and leveraging existing participation business
  • Under some supervision, proactively remain current with research legislative and industry updates to identify areas for market growth/opportunities, and/or potential concerns impacting Atria Wealth Solutions clients and/or business environment
  • Monitor accounts to ensure accurate processing, identifies discrepancies, errors/concerns and take remedial actions
  • Monitor, track and report performance of individual sales plans and assigned strategies
  • Participate in development and implementation of new/enhanced processes and financial planning
  • Participate in on-site audits of registered duties, documentation, and processes in order to comply with Atria Wealth Solutions standards and FINRA, NASAA, SEC and other regulatory agencies
  • Perform in-depth on-going research to acquire new accounts in assigned territory to increase market share
  • Plan/conduct life insurance and investment seminars and initiates cross marketing for clients and prospects to grow market penetration of Atria Wealth Solutions product services
  • Prepare standard/special reports required by FINRA, NASAA and SEC, participates in industry and/or internal audits under some supervision
  • Provide basic investment consultation related to investment products, life insurance services and related quotes, document preparation and required regulatory filings
  • Provide basic investment industry expertise to client investment consultations and servicing of investment products, stocks, bonds, annuities, mutual funds, managed accounts, and related securities
  • Performs other duties as assigned
Requirements
  • Basic understanding of economic and accounting principles and practices, financial markets, banking and analysis and reporting of financial data
  • Basic knowledge of investment and insurance products
  • Basic knowledge to interpret industry related laws and government regulations
  • Experience in business development to include market strategy, product demonstration and promoting products and services
  • Basic experience consulting with customers to access their financial status and identify investment needs
  • Basic experience working as an adult facilitator, trainer, development coach, and/or internal consultant
  • FINRA Series 7 and combination of NASAA Series 63/65 or 66 registration required. Life & Health Insurance License preferred (or the ability to obtain within 90 days of hire)
  • Appointment by the sponsoring insurance company, broker-dealer and/or Registered Investment Advisory Firm
  • Willingness to pursue CFP, ChFC, or CLU designation after one year of successful employment
  • Strong analytical, decision-making, problem-solving and organization skills
  • Skill exercising initiative and using good judgment to make sound decisions under some supervision and direction
  • Strong interpersonal, verbal, and written communications skills
  • Effective planning, organizational, time management and problem-solving skills
  • Effective skill building effective relationships through rapport, trust, diplomacy, and tact
  • Effective skill exercising initiative and using good judgment to make sound decisions
  • Effective skill presenting findings, conclusions, alternatives, and information clearly and concisely
  • Effective skill to influence, negotiate and persuade to reach agreeable exchange and positive outcomes
  • Proficiency with PCs and spreadsheet, database, word processing applications, and financial analysis software tools
Desired Qualifications
  • Bachelor's degree in Business Administration, Finance or Management or related discipline or related professional experience
  • In pursuit of designations e.g., CFP, ChFC, CLU
  • Advanced knowledge of Atria Wealth Solutions functions, philosophy, operations, and organizational objectives

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