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Retirement Plan Consultant

D.A. Davidson & Co.

in Remote / CO / NC / VA / WA

Logo for D.A. Davidson & Co.

Position Summary:
The Retirement Plan Consultant supports FPs in area of sales, marketing, fiduciary guidance, and plan sponsor education as FPs build and develop their retirement plan business, including 401(k), 403(b), PS, MPP, SIMPLEs, SEPs and IRAs. Respond daily to FPs on regulatory and industry related questions. This position reports to the Director of Retirement Plan Services. 

Qualifications:

  • 5+ year’s financial services experience, preferably in the retirement plan/IRA areas
  • Must be self-motivated and able to work independently; handle multiple tasks and varied workload
  • Highly organized and detailed oriented; ability to work under pressure
  • FINRA Series 7 & Series 63 preferred, or the ability to obtain within 90 day. 
  • Strong written, verbal and analytical skills 
  • Proficient in Microsoft Word/Excel/PowerPoint/Publisher

Primary Duties:

  • Provide analysis for DOL rollover standards, monitor, and follow up on deliverables, and provide supervision updates as needed.
  • Develop educational and marketing content for FPs that follows industry regulations such as DOL, FINRA and the IRS. 
  • Proactively engage and assist FPs with request for proposals, illustrations, and prospective and client meetings. 
  • Develop relationships with vendor partners, such as recordkeepers, mutual funds companies, third-party administrators, and have knowledge of their products and offerings, act as liaison between FP and the various parties.  
  • Assist FPs complete plan related forms, track and follow-up on pending business, and approve/reject TRAX system requests in a timely manner.
  • Handle inquiries from FPs that include evolving regulatory issues, compliance concerns and firm level policies and procedures.
  • Coach FPs on system process, procedures and marketing strategies enabling them to grow retirement business AUM and revenue. 
  • Work closely with internal partners to ensure alignment with policy and procedures, develop new products, and co-ordinate enhancements to processes where applicable.
  • Meet deadlines for FP/plan sponsor reporting requirements that include service agreements, fee changes, 408(b)(2) disclosures, fee benchmarks, advisory fee reports and plan fee billing.
  • Assist in planning and attending annual department fiduciary conferences and vendor conferences. 

What we offer:
Competitive salary plus excellent benefits and perks including, but not limited to:  

  • Medical, Dental and Vision
  • Company 401(k)and ESOP contribution 
  • Generous sick, vacation, and maternity/parental leave
  • Paid holidays
  • Professional Development Opportunities
  • Tuition Reimbursement ($15,000 lifetime cap)
  • Discounted personal insurance including home, auto and recreational vehicles
  • Charitable gift-matching program
  • Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work.  

The compensation pay range for this role is $65,000 - $85,000. The compensation offered will be determined on a case-by-case basis considering a variety of factors including, but not limited to, the skills, relevant work experience, and geographic location of each specific candidate. Additional incentive compensation may be earned based on performance. 

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

How to Apply

Apply Now


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