Service Advisor

We are a Registered Investment Advisory Firm located in Birmingham, Alabama. We think about wealth management differently, because of our nearly 50-year history and the unique nature of our business model.

We evolved from an investment bank primarily focused on municipal bond advisory and underwriting services to one that helps clients address a broad range of complex financial problems, as well as managing and investing capital.

We’re an independent firm and that means independent thinking for our clients. Our connection to our clients and the depth in which we help them is the true difference.

Additionally, our dedication to and support of our community is something we are incredibly proud of. We have been able to consistently grow our wealth management business, and currently work with approximately 100 families and 10 retirement plans.

We think differently about our people as well. We appreciate and encourage new ideas and want our team to play a part in making the business and client experience better.

To the degree that our size allows, we look to promote from within. Even when that next step is unclear, we develop and expand our employees to deepen their skills and knowledge in every way we can.

The Service Advisor is an integral part of our firm, working side-by-side with a Lead Advisor on our most complex clients, supporting a set of clients directly, and providing direction to other team members.

The primary responsibilities will be to prepare for and actively participate in client meetings, take notes, follow up on any action items, taking ownership to manage client expectations and deliverables.

You will prepare financial plans, portfolio analyses, investment recommendations, and research clients' technical questions.

Due to the nature of our client set, we need expertise in reviewing estate planning documents, a strong understanding of tax implications, and other complex financial planning topics.

We believe that the markets work with a long-term, steady approach. We strive to provide value in ways outside of investment performance, which is through our planning and relationship building efforts.

You enjoy working with clients and are happy to help nurture our relationships in partnership with a Lead Advisor as second chair and support clients as first chair equally.

Additionally, we subscribe to a team approach for all clients, so collaboration is key. This is not a business development role, and we do not require that you bring clients or assets under management to our firm.

Any existing relationships will be evaluated for alignment with the firm.

You have enough experience in front of clients that you are confident in almost any scenario, particularly with high-net-worth clients.

You are an extraordinary communicator and calm under pressure. You have a high degree of empathy, and people trust you easily because you are genuine and live to serve others.

You are a self-starter, taking initiative and having impeccable follow-through. You pay great attention to detail. You have great technical expertise and seek to use technology to both leverage your own capabilities and provide better service to clients.

You want to be a master of your craft, and you are the type of person who is always looking to better yourself. You seek out ways we can improve our client experience and education as well.

Responsibilities

• Engage directly with clients to understand their financial objectives and concerns; effectively manage the client relationship and show accountability for retention.
• Act as first chair on existing and new relationships, overseeing onboarding and the ongoing delivery of the annual service calendar;

act as second chair to the Lead Advisor, supporting and managing all aspects of the planning process for our more complex client cases

• Retain and enhance client relationships through ongoing education, excellent service, and ensuring an exceptional client experience
• Participate in discovery process with prospective clients with the goal to lead the discovery process after time
• Prepare agendas for client meetings and ensure timely completion of post-meeting action items
• Complete financial planning analyses and wealth management activities; ensure client assets are invested in alignment with their risk tolerance and goals
• Gather data from clients and analyze their current financial situation; strategic development of comprehensive financial plans that align with their goals, recommend appropriate solutions, and assist with plan implementation
• Collaborate with the support team to deliver prompt and thorough client service
• Work with clients’ other professionals, such as attorneys and CPAs, to provide holistic financial solutions
• Identify opportunities to expand existing client relationships by ensuring they are taking full advantage of our various services;

proactively seek referrals from clients to generate new business

• Produce quarterly content for external use
• Maintain accurate records of client interactions and information in the CRM system
• Representing the firm in a positive and professional manner
• Additional duties may entail participation in team projects and assisting with initiatives designed to streamline firm policies and procedures

Qualifications

• Bachelor’s degree, preferably in finance, financial planning, or a related field required
• Series 65 and CFP® required; pursuit of advanced degree or additional designations preferred
• 5+ years’ experience managing client relationships in financial planning or investment management
• Experience working with various custodial platforms (Schwab, Fidelity, etc.)
• Proficient in Excel, PowerPoint, Outlook and Salesforce (or similar CRM system)
• Familiarity with financial planning (eMoney) and financial reporting (Black Diamond) systems
• A genuine interest in serving and caring for clients
• Subject matter expert in financial planning and complex client cases
• Excellent verbal, written, presentation, listening, and interpersonal communication skills
• Excellent time management and strong organizational skills, and ability to prioritize multiple tasks and anticipate potential problems
• Must be organized, detail-oriented and able to manage and prioritize tasks

Compensation

• We leverage industry data from multiple resources to determine compensation ranges. The base compensation range for this role is $90K-$125K and will be entirely based on experience and credentials.
• Bonus plan
• Health, Dental and Vision insurance, employer pays a portion of premiums
• $100K Life insurance, employer-paid
• Short-term and Long-term Disability, employer paid
• 401k with 4% safe harbor matching contribution
• $100 monthly stipend towards cell phone
• Flexible Spending Account
• Reimbursement of relevant and approved professional dues and memberships, study materials and exam fees
• Support in approved volunteer work, through reimbursement of any dues and / or time off to participate in events
17 days ago