Senior Financial Advisor, CFP
January 17, 2018
Charlotte, NC, US
January 17, 2018
To provide advice to clients utilizing both one-time and ongoing portfolio management solutions. To clearly communicate Vanguard’s investment philosophy and recommendations to assist clients to reach their financial goals. To work well within a collaborative team environment partnering with internal representatives to serve client needs and providing coaching/mentoring for crew development.
Duties and Responsibilities
- Develop a thorough understanding of each client’s financial situation in order to create and deliver a suitable strategy based upon Vanguard’s investment philosophy. Consult with clients who have more complex financial planning needs due to high net worth. Provide investment strategies to achieve client goals. Identify the appropriate risk tolerance, discuss appropriate savings or spending strategies and provide additional financial planning solutions as needed. Provide both verbal and written plans to communicate the recommended strategies following department guidelines.
- Manage client portfolios on an ongoing basis and continue to build and retain your assigned client base. Serve as clients investing coach, conducting periodic review of portfolios and providing appropriate reports addressing client’s ongoing advisory needs. Partner with the assigned internal business partner to determine client strategy for deepening client relationships.
- Provide one-time advice to clients as appropriate for the client situation.
- Demonstrate a mastery of Client Relationship Management (CRM) skills along with strong written and verbal communication skills to build and strengthen client relationships.
- Participate in the business development process as needed with prospective clients to deepen relationships and determine appropriate advice solution.
- Initiate and implement the agreed upon investment strategy; comply with Vanguard methodology and investment guidelines; document and maintain organized client files which meet department compliance standards.
- Utilize department tools and technology to provide the optimal client experience.
- Coach and mentor other crew to develop and strengthen skills for identifying cues and assessing clients need for advice. Provide ongoing coaching and leadership to other crew.
- Promote professional development by maintaining an in-depth understanding of financial planning, capital markets and the financial services industry. Keep abreast of significant changes or developments (e.g. taxation, regulatory, legal, and competitive) within the financial services field. Maintain all required licenses and designations.
- Maintain an in-depth understanding of compliance, regulatory and departmental policies and procedures. This includes a thorough knowledge of the regulatory requirements for Vanguard’s anti-money laundering policies and procedures.
- Continuously identify process improvement opportunities along with business solutions.
- Participate in special projects and perform other duties as assigned.
The Ideal Candidate Should Possess
- Undergraduate degree or equivalent combination of training and experience
- Certified Financial Planner designation required
- FINRA Series 7, 65 and 63 licenses (or ability to obtain within 120 days of assuming position)
- Minimum of five years related financial planning and client relationship management experience
- High net worth client experience preferred.
- Demonstrated ability to coach and develop internal business partners
- Exceptional client relationship management skills – both internal and external client facing
- Excellent writing and verbal communication skills
- Positive attitude with the ability to effectively change and adapt in a continual and rapidly changing environment
- Ability to work independently and as a team member, balance multiple responsibilities simultaneously, and demonstrate exceptional time-management skills
Vanguard is not offering visa sponsorship for this position. Additionally, employment is contingent on a successful drug-screening result.