Associate Financial Advisor

Job Description

Job Description

Why Join Mirau Capital Management

Mirau Capital Management is a faith-based financial advisory firm known for professionalism, integrity, teamwork, and genuine care for both clients and employees. We believe people do their best work in an environment built on trust, accountability, and purpose.

Our team is collaborative, supportive, and growth-oriented. We value meaningful work, long-term thinking, and creating an exceptional experience for both clients and team members. We are proud of the culture we've built and the people who make it possible.

Our Mission

At Mirau Capital Management, we are called to serve with faith-based integrity, helping our clients build, protect, and preserve their wealth while enriching every life we touch along the way.

While our values are faith-informed, participation in faith-based expressions is voluntary, and we are committed to maintaining a respectful, inclusive, and professional workplace for individuals of all backgrounds and beliefs.

Our Core Values

· Give All the Glory to God

· Take Ownership and Accountability

· Never Stop Growing

· Be an Excellent Teammate

· Always Do the Right Thing

· Deliver the Ultimate Client Service Experience

Position Overview

The Financial Advisor / Investment Advisor is responsible for developing, implementing, and managing financial strategies for an established client base while actively building new client relationships and growing the firm's business. This is a client-facing, production-oriented role for an advisor who is committed to serving clients well, developing professionally, working as part of a team, and taking ownership of results.

The advisor's primary office will be Ruidoso, New Mexico. Based on business needs, the advisor may be asked to assist in the firm's Albuquerque, Las Cruces, or El Paso offices and may travel to workshops, seminars, client events, or other firm initiatives.

This position is compensated through a base salary plus commission. The advisor is expected to meet established production goals while maintaining the firm's standards for client care, compliance, documentation, teamwork, and professional conduct.

Core Accountabilities

· Build, manage, and retain strong client relationships while actively developing new client opportunities

· Prepare, present, and implement comprehensive financial plans and appropriate product or portfolio solutions

· Follow Mirau Capital Management's investment philosophy, processes, compliance requirements, and client-service standards

· Meet or exceed weekly, monthly, quarterly, and annual production expectations

· Identify uncovered opportunities within existing client relationships and develop new business

· Maintain accurate case preparation, documentation, follow-up, and client records

· Lead and communicate effectively with the advisor's support team

· Work collaboratively with other advisors, Client Service, Client Experience, leadership, and operations

Client Relationships & Financial Advice

· Develop, manage, and retain client relationships, including relationships with high-net-worth individuals

· Engage clients in comprehensive planning discussions involving investment, insurance, retirement, tax-planning considerations, and other appropriate financial needs

· Gather and analyze client information, determine goals, risk tolerance, and time horizon, and develop appropriate recommendations

· Create and present financial planning deliverables, illustrations, hypotheticals, and other supporting materials as appropriate

· Educate clients clearly on financial concepts, recommendations, options, and next steps

· Track client action items and provide timely follow-up

· Respond to client communications promptly and maintain a high standard of client care

Business Development, Marketing & Client Acquisition

· Actively develop new client relationships and contribute to the firm's growth

· Contact and follow up with prospects to set appointments and move opportunities through the firm's sales and planning process

· Participate in educational workshops, seminars, client appreciation events, community initiatives, and other marketing activities

· Develop relationships in the local community and leverage appropriate natural-market opportunities

· Work closely with the scheduling and marketing teams to maximize prospect opportunities and maintain a productive calendar

· Participate in post-workshop follow-up and prospect conversion efforts

· Support firm marketing initiatives and acquisition goals as assigned

Advisor Leadership & Team Collaboration

Financial Advisors serve as team leads for their assigned support teams. Advisors are expected to provide clear direction, communicate priorities, participate fully in team huddles, and work collaboratively with support staff so clients and prospects receive a consistent experience.

· Lead regular advisor team meetings and complete calendar and case reviews with support staff

· Provide clear direction and timely decisions so Client Service and Client Experience team members can complete their responsibilities

· Review upcoming appointments and cases in advance and ensure the team is prepared

· Teach, guide, and support team members as appropriate while encouraging cross-training and professional growth

· Proactively assist other advisors and departments during high-volume periods or when additional support is needed

· Maintain a team-first, professional, and solutions-oriented approach

Case Preparation, Processing & Documentation

· Dictate and document all client and prospect communications, visits, recommendations, transactions, and next steps within the required firm timeframe

· Provide clear post-visit instructions, including assigned tasks, responsible parties, and deadlines

· Follow up with prospects and clients for required documentation

· Prepare meeting and case materials sufficiently in advance for review and presentation

· Complete applications and required forms accurately and in a timely manner

· Follow up on pending electronic applications, transfers, and outstanding case items

· Collaborate with processing staff to ensure timely account setup, transfers, and completion of client requests

· Maintain accurate CRM records and comply with firm records-retention requirements

Workshops, Events & Travel

· Attend and/or present at workshops and firm-sponsored events as assigned

· Assist with workshop setup, execution, prospect interaction, and teardown

· Be prepared to independently support workshop responsibilities using firm procedures and SOPs

· Travel to Albuquerque, Las Cruces, El Paso, and other locations when requested to support workshops, clients, advisors, or firm initiatives

· Maintain flexibility for occasional evening and weekend commitments based on client and business needs

Production & Performance Expectations

After one year of employment, the advisor is expected to achieve a minimum of $2,000,000 in qualifying production per quarter and $8,000,000 in qualifying production annually, subject to the firm's current production-credit methodology and any updates communicated by management.

Advisors are responsible for submitting required production reports and participating in performance and goal reviews with leadership.

Licensing, Compliance & Professional Development

Financial Advisors must hold, or obtain within the timeframe established by Mirau Capital Management and its affiliated broker-dealer/RIA, the securities registrations and insurance licenses required for their assigned responsibilities. The exact combination may vary based on registration structure and duties.

· Securities Industry Essentials (SIE), as applicable

· FINRA Series 7

· Series 66 OR an appropriate combination of Series 63 and Series 65

· Applicable State Life & Health Insurance License(s)

· Any additional registrations, state licenses, carrier appointments, or credentials required for the advisor's assigned activities

· Maintain all licenses, registrations, appointments, Continuing Education requirements, and E&O coverage required for the advisor's role

· Remain current on applicable firm policies, compliance requirements, products, planning strategies, and industry developments

· Complete all required firm, carrier, broker-dealer, investment advisory, and compliance training

· Actively pursue ongoing education and professional development

· Seek coaching, training, and feedback and remain coachable and process-oriented

· Obtain written approval for additional carrier appointments, licensing, or outside financial affiliations as required by firm policy

Minimum & Preferred Qualifications

· 2-3+ years of financial-industry experience preferred

· Required licensing/registrations may include the Securities Industry Essentials (SIE), FINRA Series 7, Series 66 OR an appropriate combination of Series 63 and Series 65, and applicable State Life & Health Insurance License(s), depending on the advisor's responsibilities and registration structure.

· Strong understanding of financial planning, investments, insurance, retirement planning, and client relationship management

· Strong organizational, prioritization, mathematical, analytical, and time-management skills

· Excellent verbal and written communication skills

· Professional presence and ability to build trust-based relationships

· Proficiency with Microsoft Office; experience with Redtail CRM or similar CRM preferred

· Ability to travel and work occasional evenings or weekends as business needs require

What Success Looks Like

· Builds trusted, long-term relationships with clients and consistently delivers an excellent client experience

· Develops new business and meets established production expectations

· Comes prepared for client meetings, team huddles, workshops, and case reviews

· Communicates clearly with clients, prospects, support staff, leadership, and fellow advisors

· Takes ownership of cases, follow-up, documentation, licensing, education, and results

· Leads the support team with professionalism, clarity, accountability, and respect

· Is coachable, adaptable, growth-minded, and committed to continuous improvement

· Represents Mirau Capital Management professionally in the office, community, and at firm events

Employment Status & General Expectations

This is a full-time position compensated through a base salary plus commission. The normal business schedule is generally Monday through Friday, 8:00 a.m. to 5:00 p.m.; however, the nature of an advisor role may require evening, weekend, travel, and schedule flexibility to accommodate clients, prospects, workshops, events, and firm initiatives.

Advisors are expected to maintain regular presence in their designated primary office and may be required to report to other Mirau Capital Management offices as business needs dictate. Timekeeping, attendance, reporting, and scheduling requirements are governed by current company policy.

Mirau Capital Management reserves the right to revise this job description and assign, remove, or modify duties and responsibilities as business needs evolve. This job description is not intended to be all-inclusive.

Employment Status & Legal Notice

Employment with Mirau Capital Management is at will. This means either the employee or the Company may terminate employment at any time, with or without cause or notice, subject to applicable law.

This job description does not create a contract of employment and does not guarantee employment for any specific duration.

Equal Employment Opportunity Statement

Mirau Capital Management is an Equal Opportunity Employer. Employment decisions are made without regard to race, color, religion, sex, pregnancy, sexual orientation, gender identity, national origin, age, disability, genetic information, veteran status, or any other status protected by applicable federal, Texas, or New Mexico law.