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Investment Advisor

SWBC Retirement Plan Services

in Austin TX

Logo for SWBC Retirement Plan Services

SWBC continues to be a strong and stable employer during these challenging times and a vast majority of our interviewing and on-boarding is being done virtually due to COVID-19.

SWBC is seeking a talented individual to build a client base and provides ongoing investment advisory services focused exclusively on retirement plans (401(k), 403(b), 457, defined benefit, etc.) for plan sponsors.

Why you'll love this role:

You will love being an Investment Advisor with SWBC Retirement Plan Services because you have the opportunity to not just have a job but a meaningful career. In this unique opportunity, you are able to build a client base with reoccurring revenue while creating your own sales and driving your income up. You do all this while making a meaningful difference to organizations and their retirement plan participants.

Essential duties include the following:

  • Generates sales of advisory services for retirement plans directly to employers through product knowledge, networking, and attending national conferences to promote SWBC services which include, but is not limited to, fee benchmarking, investment reviews, fiduciary oversight, and vendor searches.
  • Consults with potential clients on the Advisory Services Agreement and Investment Policy Statement to ensure their thorough understanding of the fiduciary process and risk management services SWBC provides.
  • Utilizing proprietary research tools developed by SWBC, develops and advises clients on investment options that are available under their retirement plan(s).
  • Represents SWBC at financial and investment conferences to generate consultations, quotes, or follow-up opportunities, attends institutional level investment committee meetings, and reports sales activities and results to management.
  • Provides superior ongoing client service and retention through execution of SWBC’s disciplined approach to consulting and fiduciary responsibility.
  • Ensures all required compliance agreements, file, reports, new client documentation, and the like are completed and maintained in accordance with SEC, Federal, and state regulations.

Serious candidates will possess the minimum qualifications:

  • Must have a Bachelor’s Degree, preferably in Business, Finance, or related field. If degree is not in a related field, retirement plan industry experience is critical.
  • Must have more than seven (7) years’ sales experience developing new business, delivering retirement investment advisory and fiduciary support, or related experience, preferably in working with retirement plans (401(k), 403(b), 457, defined benefit, etc.)
  • Must have a demonstrated ability to build, grow, and sustain a book of retirement plan clients.
  • Must have a strong retirement investment acumen and demonstrated knowledge of retirement plan (401(k), 403(b), 457, defined benefit, etc.) structures and terminology.
  • Must have a strong understanding of fiduciary principles under ERISA Sections 3(21) and 3(38).
  • Must have a strong understanding of sales strategy formulation and reporting.
  • Must have a strong working knowledge of Financial Industry Regulatory Authority (FINRA) requirements.
  • Must have excellent communication (verbal and written), presentation, organization and interpersonal skills.
  • Must possess a solid working knowledge all Microsoft Office applications.
  • Must be a self-starter, highly motivated, and be able to work independently while exercising sound judgment.
  • Must possess  or be willing to possess a Series 65 license.
  • Must be able to stand and/or sit for long periods of time while performing sales, consultations, report generation, and the like.
  • Must be able to stoop, kneel, and lift 10-20 lbs. of files, presentation equipment, or other office items.
  • Must be able to travel locally, state-wide, and nationally.

SWBC offers*:  

  • Competitive overall compensation package
  • Work/Life balance 
  • Employee engagement activities and recognition awards 
  • Years of Service awards
  • Career enhancement and growth opportunities 
  • Emerging Professionals and Mentor Program
  • Continuing education and career certifications 
  • Variety of healthcare coverage options
  • 401(k) Retirement Plan
  • Lucrative Wellness Program

*Based upon employee eligibility 

Seniority Level

Mid-Senior level


  • Financial Services

Employment Type



How to Apply

To apply please email:

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