What are the responsibilities and job description for the Financial Advisor position at Grimes & Company?
Established Registered Investment Advisory firm seeking a Financial Advisor to assist families, individuals, and institutions in identifying financial goals, work with our portfolio management team to design investment allocations and determine strategy selections to meet those needs, and manage ongoing client relationships. Applicants local to Dallas, Texas are encouraged to apply.
Responsibilities
- Serve as lead advisor to new and existing clients of the firm.
- Interview clients to determine their current income, expenses, insurance coverage, tax status, financial objectives, risk tolerance, or other suitable information needed to develop a financial plan.
- Manage client relationships, providing the highest level of service and support.
- Prospect and cultivate the expansive opportunities offered by our existing referral networks and pipelines.
- Inform, educate, and solicit investment consultants who refer clients to our firm.
- Speak with clients over the phone, via email and in person at regular review meetings.
- Work with clients to develop a financial plan and create an Investment Policy Statement.
- Consult with clients about their allocations and investment strategies as they evolve over time.
- Maintain a high level of organization during a busy work day.
- Prepares Investment Policy Statement for client portfolios and reviews investment strategy decisions with the firm's Portfolio Managers.
- Prepares financial plans for existing clients using the firm’s financial planning software
- Explain to clients the financial advisor's responsibilities and the types of services to be provided.
- Contact clients periodically to determine any changes in their financial status.
- Follow all compliance procedures as outlined in the Compliance Policy and Procedures Manual.
- Respond to the Chief Compliance Officer and other compliance personnel as required/requested for completion of various compliance tasks.
- Limited travel may be required.
- Perform other related duties as required.
Requirements
- Possess a true desire to help others achieve their financial goals.
- Possess strong time management and organizational skills.
- Dedicated team player with strong follow up, communication, and presentation skills.
- Being aware of others' reactions and understanding why they react as they do.
- Ability to adjust actions in relation to others' actions.
Education, Training & Experience
- 4 years of relevant industry experience required.
- Bachelor's degree required.
- Minimum of 3 years experience as an Investment Adviser Representative (IAR) required.
- Certified Financial Planning designation is preferred but not required.
- FINRA Series 66 license preferred but not required.