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Investment Advisor

SWBC Retirement Plan Services

in Austin TX

Logo for SWBC Retirement Plan Services

Builds 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.

Job Description

ESSENTIAL DUTIES

  • 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.

MINIMUM REQUIREMENTS

  • 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 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.

How to Apply

Interested applicants please reply to retirement@swbc.com


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