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Years of Experience
Date Last Verified
Wealth Advisor (SAFE) II The candidate will be responsible for identifying prospective clients with investable assets of at least $3MM or more and bringing them to The Private Bank (TPB) within company Wealth Management (WM). Manages the relationships of high net worth (HNW) and ultra-high net worth (UHNW) clients of The Private Bank in coordination with Private Bankers, Fiduciary Advisory Specialists, Investment Strategists, Financial Advisors, Wealth Planners, Insurance Specialists and other professionals across company. Responsible for ensuring delivery of an exceptional client experience in alignment with The Private Bank’s value proposition. Accountable for prospect identification, client acquisition and for tailoring the delivery of products, services and resources available across company to clients based on their needs. Serves as relationship manager, informal leader of internal teams and culture carrier for Wealth Management. Leads and leverages Tactical Sales Process and Client Discovery Review to gather information about prospects and clients current situation, future plans, goals, and objectives. Takes a full balance sheet view to support clients complex financial picture. Engages practice experts in the various Wealth Management lines of business to deliver products and services across the full breadth of WM offerings, including Private Banking, Investment and Fiduciary Services, Brokerage, Insurance and Planning. Also leverages the services available across the company franchise for client benefit. Prepares and delivers presentations, investment and relationship reviews to clients in concert with other relationship team members. Refers business to the appropriate partner within or outside of Wealth Management. Establishes robust relationships with centers of influence (COI) within the HNW/UHNW space. Exercises a strong risk management mindset and ensures that all appropriate measures are taken to mitigate risk. This SAFE position has customer contact and job duties which may include the offering/negotiating of terms and/or taking an application for a dwelling secured transaction. As such, this position requires compliance with the S.A.F.E. Mortgage Licensing Act of 2008 and all related regulations. Ongoing employment is contingent upon meeting all such requirements, including acceptable background investigation results. Individuals in a SAFE position also must meet the Loan Originator requirements under Regulation Z (LO) outlined in the job expectations.
Qualification and Experience
The candidate should have Master of Business Administration, Certified financial Planner (tm) practitioner, Chartered Financial Analyst, Certified Public Accountant or Juris Doctorate. Series 7 and 66, or equivalent, plus Life and Health Insurance licenses must be completed within 180 days of start date, if not held at the time of hire. Compliance with state law requirements is mandatory. Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition state registration, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. This position requires SAFE registration at the time of employment. Should have 5+ years of financial services product and service recommendation experience. Existing book of business cultivated through personal business development efforts is preferred. Relationship management experience is desired. 5+ years of experience with high net worth and ultra high net worth client portfolios across a broad array of wealth management products and services is preferred. Experience teaming with specialists from different disciplines to meet the complex financial needs of clients is preferred. Commercial credit experience is desired. Extensive knowledge of the local market is preferred.
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