Financial Strategy Advisor

1 week ago

San Antonio, Texas, United States Raymond James Financial Incorporated Full time

Position Overview:


In this role, you will operate under minimal supervision, leveraging specialized expertise and skills acquired through experience and training to provide valuable insights to Financial Advisors and their clientele on comprehensive financial planning matters. This may encompass areas such as portfolio structuring, tax advisory, retirement solutions, risk assessment, estate management, educational funding, and small business strategies.

Ongoing education will be essential to enhance your understanding of the financial sector and market dynamics.

Key Responsibilities:

  • Collaborate with Financial Advisors to assess clients' existing portfolio configurations, comprehend client objectives, input client data, and perform financial evaluations.
  • Analyze individual and employer-sponsored retirement requirements, explore various alternatives, and propose planning solutions.
  • Investigate and offer recommendations concerning risk management issues, including insurance options.
  • Craft and propose a customized financial analysis or a comprehensive financial strategy that aligns with clients' short-term and long-term financial aspirations.
  • Develop presentations that effectively convey recommendations and alternatives pertaining to the client's financial analysis and comprehensive strategy design.
  • Conduct thorough document assessments; evaluate client information and scenarios across the financial planning spectrum to formulate plans.
  • Research necessary information on a case-by-case basis and draft tailored financial plan observations and recommendations for each client.
  • Prepare documentation for meetings with both existing and prospective clients.
  • Coordinate and manage communication with new or existing clients as needed.
  • Continuously monitor clients' financial situations with precision, maintaining a holistic view of their financial landscape.
  • Address client inquiries through various communication channels.
  • Educate clients on the functionalities of different securities markets and the primary factors influencing them.
  • Provide insights on estate planning strategies and techniques.
  • Assist with inquiries related to educational funding, including 529 savings plans.
  • Support clients with small business planning guidance.
  • Conduct research as required for assigned client cases, including basic tax inquiries and other legal matters, seeking guidance when necessary.
  • Participate in client presentations as needed.
  • Manage client accounts, including opening, transferring, and closing accounts while maintaining accurate records.
  • Verify client transaction instructions, enter orders, and ensure completion of transactions.
  • Adhere to firm and regulatory policies within compliance standards.
  • Perform additional duties and responsibilities as assigned.
Qualifications:

Requirements:

  • Understanding of fundamental investment concepts, practices, and procedures utilized in the securities industry.
  • Knowledge of economic and accounting principles, financial markets, investments, and insurance products.
  • Familiarity with concepts and regulations related to financial planning.
  • Awareness of the company's operational structure, policies, mission, strategies, and compliance guidelines.
  • Strong verbal and written communication skills to deliver clear and professional presentations.
  • Ability to identify customer needs through effective questioning and listening techniques.
  • Proficiency in client relationship management systems and other required software applications for producing financial plans, correspondence, reports, and databases.
  • Organizational and time management skills to prioritize workload and meet deadlines.
  • Attention to detail to ensure quality standards are met without disrupting workflow.
  • Follow-up skills to ensure task resolution and completion.
  • Ability to integrate clients' financial needs and goals into a concise, professional presentation outlining their options.
  • Capability to read and interpret technical and legal documents and apply the information appropriately.
  • Skill in managing multiple detailed tasks and assignments with frequently changing priorities in a dynamic work environment.
  • Effective oral and written communication skills to interact with and guide clients on various planning options.
  • Commitment to continuous learning regarding investment products, industry regulations, and financial planning.
  • High level of customer service delivered in a calm and professional manner.
  • Ability to establish and maintain effective working relationships at all levels.
  • Capability to work independently as well as collaboratively within a team.
  • Analyze daily activity reports for sales practices and performance issues.

Educational/Experience Requirements:

  • Bachelor's Degree in a related field with a minimum of two years of experience in financial, retirement, and estate planning or in marketing these services.
~or~

  • Any equivalent combination of experience, education, and/or training as approved by Human Resources.

Licenses/Certifications:

  • Securities Industry Essentials (SIE) required unless exempted.
  • Series 7.
  • Series 63, 65, and/or 66 as mandated by state regulations.
  • Registered Paraplanner designation or the ability to obtain within two to five years of employment.
Core Values:


At Raymond James, our associates embody five guiding principles (Develop, Collaborate, Decide, Deliver, Improve) to uphold the firm's core values of client-first, integrity, independence, and a conservative, long-term perspective.

We expect our associates at all levels to:

  • Advance professionally and inspire others.
  • Collaborate effectively to achieve desired outcomes.
  • Make timely, pragmatic decisions with the client in mind.
  • Take ownership and hold themselves accountable for delivering meaningful results.
  • Contribute to the ongoing evolution of the firm.

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