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Position Summary
In this pivotal role, the Financial Advisor will be responsible for overseeing the investment strategies for their diverse client base. This results-driven role will be responsible for designing and executing tailored investment strategies that meet the customized financial goals of clients, and will also provide a complete and holistic approach to financial planning.
Role Description
The Financial Advisor is an experienced member of the Moors & Cabot team with a mission to competitively deliver the highest quality service to clients in order to help them achieve their financial goals. This role is a valuable partner in the success of the branch and the overall firm. The Financial Advisors of Moors & Cabot exhibit all of Moors & Cabot’s core values - Integrity, Service is Personal, One Team, Communication and Initiative - in all of the responsibilities listed below.
This full-time role reports to their respective Branch Manager. Working hours are Monday - Friday 8:30 AM to 5:00 PM EST. Moors & Cabot offers multiple flexible work arrangements for its employees: remote, hybrid and in-office. This role is eligible for any of these arrangements depending on proximity to a branch and needs, and must be located within the state of Florida.
Role Responsibilities
Develop and implement financial planning solutions for clients and perform complex research and financial analysis related to those solutions
Build, maintain, and update client databases and financial plans
Perform research for client portfolios using various software tools
Stay current and informed by researching investment products and market trends
Utilize MoneyGuidePro in analyzing, drafting, and implementing financial plans based on client needs
Provide strategic advice and manage money to reflect client risk tolerance, income, expenses, and assets
Continuously monitor clients’ financial situations with detail and accuracy by monitoring portfolio transactions and addressing client portfolio inquiries
Maintain and cultivate client relationships via approved mediums of communication
Create and prepare detailed portfolio reviews, security analysis, and client delivery presentations for meetings
Document and execute money moves - trades, deposits, ACH, wires, withdrawals, rollovers, etc.
Cultivate relationships with wholesalers
Utilize marketing and established business plans to increase book of business
Plan networking opportunities to foster client opportunities
Maintain working relationships with other business functions to ensure seamless business practices and troubleshoot problems when they arise
Compliance, Operations, IT, Training Center, etc.
Set performance expectations and goals for assigned Client Associate(s) in conjunction with the Branch Manager
Provide feedback and mentorship to assigned Client Associate(s) on a regular basis
Adhere to and keep up to date on Compliance and firm policies
Ensure and maintain good standing with all FINRA/SEC rules and regulations including licensure and continuing education requirements
Keep up-to-date with the latest tax regulations and industry trends
Be an active culture carrier and contribute to a positive team morale
Key Measurements
Ability to meet annual production/revenue goals
Maintenance and growth of client relationships and book of business
Adherence to and limiting compliance risk and liability
Overall success and satisfaction of team, as applicable
Minimum Requirements
7+ years of relevant experience within Financial Services
Portable book of business
FINRA SIE, Series 7 and 66 (63/65)
Bachelor’s Degree or higher in Business, Finance, or related field
A passion for financial markets
Strong understanding of financial planning, portfolio management, and fiduciary investing concepts
Prior experience with Financial Planning software
Confident in using Microsoft Office Suite and Google Suite applications
Comfortable taking initiative and being part of a team environment
Ability to sit for long periods of time and lift up to 10 pounds
Preferred Requirements