A successful independent RIA firm in the Cordova, TN area is seeking an organized and motivated Part-Time Workshop Coordinator to join their team. This individual will be pivotal in planning, organizing, and executing educational workshops focused on retirement income and strategies. If you have a passion for event coordination, excellent organizational skills, and a desire to make a positive impact on individuals’ retirement journeys, this is a great opportunity for you.

Responsibilities

• Collaborate with the marketing team to develop workshop topics, agendas, and learning objectives
• Coordinate with advisors to secure their participation in workshops
• Research and identify suitable workshop venues, negotiate contracts, and manage logistics such as room setup, audiovisual equipment, catering, etc.
• Develop and maintain a detailed project plan, timelines, and budgets for each workshop
• Ensure all workshop materials, handouts, and presentation materials are prepared and available prior to each event
• Coordinate participant registration, including managing RSVPs, sending confirmations, and providing pre-workshop communications
• Act as the main point of contact for workshop attendees, providing excellent customer service and answering inquiries
• Cultivate relationships with existing and potential clients, promoting workshop participation and highlighting the value of our services
• Address participant feedback and concerns promptly and professionally, striving to exceed client expectations

Qualifications

• Proven experience in event coordination
• Excellent organizational and project management skills, with the ability to manage multiple priorities and deadlines
• Strong interpersonal and communication skills, with the ability to interact effectively with clients, team members, and external partners
• Detail-oriented mindset, ensuring accuracy and precision in all aspects of workshop planning and execution
• Proficiency in Microsoft Office Suite and event management software
• Knowledge of retirement income strategies and financial planning concepts is a plus

A successful and rapidly growing RIA firm is seeking to hire a New Business Specialist for their office in Cordova, TN. This individual will be part of the operations team, supporting financial advisors and their clients.

Responsibilities

• Assist in the onboarding of all new clients, from account opening and incoming transfer to initial portfolio
• Verify accuracy of all paperwork, including signatures, initials, and dates
• Review and submit new account applications and transfer forms
• Update weekly incoming transfer and completed new business reports
• Work as a liaison between advisor and client

Qualifications

• Strong attention to detail
• Highly organized
• Ability to follow through on tasks
• Strong communications skills, both written and verbal
• Task prioritization
• Warm, welcoming personality
• Comfortable speaking with a wide range of individuals
• Proficiency in Microsoft Word, Excel, and Outlook
• Financial services experience required

Salary is negotiable based on experience.

A successful independent RIA firm is seeking a Financial Advisor in the Chattanooga, TN area. The firm has a marketing team that drives business to the advisors, and leads are booked for them. No need to prospect or cold call.  

Job Highlights:

• Proven marketing system provided to the advisor
• No prospecting needed
• No cold calling
• Just meet with candidates and close business!

A successful independent RIA firm in the Valley View, OH area is seeking to add a financial paraplanner to their team. You will be responsible for developing and executing client relationships and collaborating on financial and investment plans with the Managing Advisor and other team members.

Job Responsibilities and Qualifications

• Work with internal teams to delivery excellent customer service to existing clients and new prospects
• Advise clients of advantages, risks, and disadvantages of various products and strategies
• At least 3 years in a paraplanner or Advisor assistant position
• Active Series 7 and/or 66 (63/65) license
• A valid and active Life, Health, and Long-Term Care Insurance License
• Bachelor’s degree in finance, business, economics, or related field preferred
• Competitive Salary, plus bonus pay
• Medical, dental, vision
• Friday afternoons off
• Professional development assistance

A Top National Wealth Management firm is seeking to add one top level Wealth Advisor to their team in the Denver, CO area. This is a great opportunity for a wealth advisor who wants to work in a team environment with a full-service organization. This advisor will have two main roles. Present at seminars and workshops and close new clients that are scheduled for them by the team.  This is a great opportunity for an advisor that loves to close but does not like the traditional prospecting of new clients. 

• Salary plus commission and Bonus comp plan
• Full Benefits
• Flexible on Remote or in-office
• Work/Life balance is important
• CFP is a plus (but not required)

A successful and rapidly-growing RIA firm is seeking to add one tax professional to their office in the Grand Blanc, MI area. This is a great opportunity for someone who is a tax preparer and wants to join a strong independent RIA firm and work with existing clients in a collaborative environment. Growth potential in the firm.

Job Description and Requirements

• Help with tax returns from key clients
• Meet with clients as part of the team providing tax solutions
• Take calls from existing clients to help solve tax related issues
• Drake Software is a plus (can be trained)
• CPA a plus (ample study time if interested in pursing CPA)
• Firm is supportive of employee pursing becoming a enrolled agent, financial advisor or CPA

A rapidly growing independent RIA firm in Greer, SC is seeking a Service Advisor to join their team.  

Job Responsibilities: 

•  Work with existing clients 
•  Annual reviews with top clients 
•  Portfolio analysis 
•  Finding new opportunities within the existing book 
•  Opportunity to work with new clients 

Job Highlights: 

•  No need for prospecting 
•  Strong compensation plan—salary plus bonus on revenue 
•  Growth potential within the firm 
•  Experienced and comfortable presenting to clients required 
•  Life Insurance License and Series 65 required  
•  3-5 years of experience preferred 

A rapidly growing independent RIA firm in Sarasota, FL is seeking a Service Advisor to join their team.  

Job Responsibilities: 

•  Work with existing clients 
•  Annual reviews with top clients 
•  Portfolio analysis 
•  Finding new opportunities within the existing book 
•  Opportunity to work with new clients 

Job Highlights: 

•  No need for prospecting 
•  Strong compensation plan—salary plus bonus on revenue 
•  Growth potential within the firm 
•  Experienced and comfortable presenting to clients required 
•  Life Insurance License and Series 65 required  
•  3-5 years of experience preferred 

Registered Investment Advisory Firm located in Fort Lauderdale, FL seeks local area full-time Compliance Associate with 3+ years of compliance and/or advertising experience in the Investment Advisory or Brokerage industry.

Candidate must have a have high attention to detail and the ability to work independently, think critically, and exercise good judgment. Our firm compliance and operations departments work together, therefore knowledge on the operations side is a plus.

This is an in office position (no remote or hybrid schedule). 

Duties include, but not limited to:

• Assist the CCO and perform daily compliance duties like Advertising Social Media and Website Review
• Help collect documentation and data for required compliance document retention on DropBox
• Assist Representatives and different departments with questions
• Help and participate in projects when needed with the operations team
• Help with reviewing daily compliance reports if needed
• Perform other duties as assigned or required

Required Skills and Qualifications

• Bachelor’s Degree from an accredited College or University, or equivalent work experience
• Previous Financial Industry experience
• Friendly professional demeanor and ability to excel in a team-oriented environment
• Strong proficiency with Microsoft Office suite
• Strong analytical and detail-oriented aptitude; a high degree of accuracy is required
• Excellent communication and organizational skills
• Ability to manage time effectively, set priorities and meet deadlines
• Ability to learn and adapt to change
• Desire/ability to work successfully in a small team environment

Salary Range 55K-65K

Excellent benefit packages which includes Health, Dental, Vision, Life Insurance and 401K Plan with employer match and paid time off.

One of the fastest growing independent RIA firms in the country is seeking a Client Service Representative for their office in the Cordova, TN area. This individual would work with an existing book of business with the support of a successful firm and marketing system.

Job Responsibilities and Qualifications

• Work with existing clients of the firm
• Client reviews
• Portfolio analysis
• Re-balancing
• Look for other sales opportunities within the existing book
• 65 required

A local FMO/IMO in the Fort Lauderdale, FL area is seeking a candidate with experience writing ACAT, annuity, and financial applications to join their rapidly-growing firm as a new business coach. Responsibilities include but are not limited to training advisors and staff, explaining financial applications, scrubbing applications, and regularly scheduled calls and meetings.

Key Responsibilities

• Complete and double check all paperwork for items that need to be added, signatures, initials, dates, etc.
• Submit applications to carrier with client’s check, rollover paperwork, or transfer paperwork and most recent statements.
• Follow up on all pending transfers by checking carrier website or contacting the companies directly.
• Frequently communicate with clients regarding the activity of their accounts that are getting established.
• Manage client information—prepare client reports, submit and follow up on necessary paperwork, maintain client files and activity reports in database.
• Work closely with other financial intermediaries, such as brokerage firms, investment companies, accountants, attorneys, etc.
• Deliver superior client service.
• Communicate with clients verbally and in writing.

Qualifications and Skills

• Proficient in computer skills—Microsoft Word, Excel, and Outlook
• CRM experience is a plus.
• At least 3-5 years of experience working with clients in a financial firm.
• Strong written and verbal communication skills
• Collaborative team player, able to work with and through others.
• Ability to establish and maintain positive relationships with existing and potential clients.
• Ambitious with a sense of urgency and initiative; proactive vs. reactive
• Must be dependable, professional, and accurate.
• Series 65 license a plus
• College education

Benefits

• Health/Dental/Vision
• Life insurance, short, and long-term disability
• Paid time off
• 401k

A rapidly-growing financial services firm in the Woodland Hills, CA area is seeking to add a Client Acquisition Advisor to their team. This individual will interact with the firm’s prospects to build relationships, acquire new clients for the firm, and assist new clients with tailored investment strategies. The successful candidate will be friendly and outgoing in person and on the phone, and excited to interact with clients.

Job Responsibilities

• Utilize firm’s CMS system to interact with current prospects and follow up with all warm leads
• Build rapport with prospects in a manner that supports acquiring them as a client
• Develop investment strategies and recommendations based on each client’s individual circumstances and needs
• Support clients at every stage of their investment process, including introduction, education on investment options, investment planning, and long-term maintenance of their investments
• Proactively maintain a schedule of outbound communication with prospects
• Collaborate with team members to ensure all client requests for service are fulfilled adequately in a timely fashion

Qualifications and Benefits

• California Life and Health Insurance License required
• Series 65 required, or Series 66 and 7 within the last 6 months
• Client facing experience in the financial services industry
• Salary plus commission
• Health insurance, PTO, 401K matching

A successful independent financial planning firm is seeking a financial advisor for their office in Midlothian, VA. The existing marketing system, based on radio, webinars, and educational seminars, drives a tremendous amount of new business to the firm, so there is no need for prospecting. This is a great opportunity for an individual who loves to work with clients but does not want to prospect for new business.

Job Highlights:

• Proven marketing system provided to the advisor.
• No prospecting needed.
• Office space and full support team provided.
• Work with new and existing clients.
• Series 65 required.

A successful financial services firm with offices in Bryan and Defiance, OH is seeking to add a Director of Operations to their team. This individual will work closely with the CEO to manage new business and client service paperwork, train and supervise support staff, and implement processes and workflows. The ideal candidate will possess excellent customer service skills, strong attention to detail, and a high level of knowledge of the financial industry, particularly processing new business and service requests.

Job Responsibilities

• Ensure correct documents are in place for client service needs.
• Oversee and delegate needed tasks to service staff.
• Monitor client tickets and track client progress on multiple platforms.
• Onboard new clients.
• Track new business and other goals for the firm.

One of the fastest growing independent RIA firms in the country is seeking a Client Service Advisor for their office in the Cordova, TN area. This individual would work with an existing book of business with the support of a successful firm and marketing system.

Job Responsibilities and Qualifications

• Work with existing clients of the firm
• Client reviews
• Portfolio analysis
• Re-balancing
• Look for other sales opportunities within the existing book
• 65 required

Salary plus bonus on revenue with full benefits. Great growth potential within the firm.