Financial Advisor

Job Description

Job Description

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. Standard business hours at Moors & Cabot 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. The role is eligible for any of these arrangements depending on proximity to a branch and needs, and must be located within the state of Arizona.

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