Retirement Plan Advisor

Job Description

Job Description

NOW HIRING a RETIREMENT PLAN ADVISOR:

When you join our service-driven team managing retirement plans for small/mid-sized employers, you'll:

• Serve as the primary advisor to plan sponsors, partnering with recordkeepers and TPAs to deliver compliant, optimized solutions while growing client relationships and AUM.
• Build and maintain plan sponsor relationships as the primary contact, aligning solutions with their business goals and retirement objectives.
• Lead regular plan reviews, benchmarking design, fees, investments, compliance, and participant engagement; recommend ways to optimize fees and services for participants to boost participation.
• Create onboarding strategies for new sponsors, coordinating with recordkeepers, TPAs, compliance, and operations for seamless launches.
• Design and monitor investment fund lineups per ERISA fiduciary standards; adjust based on performance, market shifts, and sponsor risk tolerance.
• Provide participant education via workshops, materials, and tools to drive enrollment and deferrals.
• Ensure regulatory compliance (DOL, ERISA, and SEC) through ongoing monitoring, reporting, and fiduciary training.
• Drive growth by identifying cross-sell/rollover opportunities, pursuing referrals, and cultivating individual wealth management from plan relationships.

Qualifications:

• Required:
  • Minimum 7+ years of experience in the retirement plan industry in a Relationship Management capacity for 401(k) and 403(b) plans.
  • FINRA license: Series 65 or 66.
  • Strong ERISA fiduciary knowledge, including 3(21) duties.
  • Experience negotiating with C-level executives at plan sponsors and record keepers.
• Preferred:
  • Bachelor's degree in Finance, Business, Economics, or a related field.
  • Retirement designations: CRPS®, AIF, or ChFC.
  • CRM proficiency.
  • Track record of managing 10+ plans with a participant engagement focus.

Key Traits:

• Proactive communicator with professional phone/email etiquette.
• Collaborative in fast-paced teams while maintaining strict confidentiality.

JOIN TREK WEALTH SOLUTIONS, A DIVISION OF sowell management: A company that promises to provide the same consistent level of service and value to all clients.

Sowell Management was established in 2001. From that day forward, we have strived to set our Company apart, both in quality and professionalism.

We are a dynamic and growth-oriented Registered Investment Advisor (RIA) firm dedicated to empowering independent financial advisors. Through our comprehensive platform, resources, and advisor-centric culture, we help advisors transition, grow, and thrive in a fiduciary environment.

Here at Sowell Management, everything we do is centered around our Core Values and our clients:

• We are family . Have each other's back - Put others first - Critique in private.
• Attitude is everything . Don't be a jerk & don't suck. Be enthusiastic, positivity goes both ways.
• Care about what you do . Passion, desire, and drive for excellence - No half-hearted efforts
• Own your commitments . Do what you say. First time, every time.
• Go above and beyond . Teamwork always wins. Help each other out. When it's not your job or after 5.

Sowell Management views each employee as a valued asset in the operation of the business. We strive to make our Company the best possible place to work. Your efforts and team spirit will contribute to helping all of us achieve this goal.

Teamwork is the foundation of Sowell Management's success. All employees are strongly encouraged to share ideas and suggestions to improve the Company's effectiveness and quality of work life. This team effort maximizes the quality of our services, minimizes costs, and allows employees to have satisfaction with their accomplishments.

• Competitive W2 base salary + incentive opportunities tied to AUM growth and onboarding new plans.
• Comprehensive benefits package including health insurance, 401(k) with firm match, and professional development stipend.
• Enterprise tech stack: CRM, financial planning, trading platforms, and portfolio management tools.
• Collaborative, entrepreneur-minded environment with mentorship from experienced advisors and leadership.
• Commitment to work-life balance with reasonable client expectations and office hours.
• Ongoing professional development and support for continuing education and certifications.

Sound like the right place for you? Apply now to join our growing team!