Investment Advisor Job Description

Investment Advisor Job Description

183 votes for Investment Advisor
Investment advisor provides past professional or personal experience that demonstrates an ability to work creatively and effectively in stressful situations while maintaining a positive attitude.

Investment Advisor Duties & Responsibilities

To write an effective investment advisor job description, begin by listing detailed duties, responsibilities and expectations. We have included investment advisor job description templates that you can modify and use.

Sample responsibilities for this position include:

Confident and engaging presence with an ability to motivate and influence
Interacting with customers with account questions
To meet internal procedures for new funds validation and promotion
Build trusted, often multi-generational, relationships with business owners, individuals, families, charities, and foundations, based on personalized services and advice
Customize wealth management and investment management plans to meet your clients’ individual needs
Develop and foster networks while seeking out new clients through referrals
Initiate, develop, and foster a network of successful individuals, families, and business owners, with the goal to ultimately manage their family wealth, while seeking out new clients through referrals
Build and develop your client base, as you manage and grow their portfolio from scratch, selecting the most appropriate investment solutions to meet their financial plans and goals
Identify clients that need and want you to create a customized wealth management and investment management plan to meet their individual needs
Provide investment advice to all existing and prospective non-discretionary clients over the phone and in meetings

Investment Advisor Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Investment Advisor

List any licenses or certifications required by the position: PMP, TOGAF, VM, CISA, ITAM, CSAM, ITIL, CMT, FRM, MBA

Education for Investment Advisor

Typically a job would require a certain level of education.

Employers hiring for the investment advisor job most commonly would prefer for their future employee to have a relevant degree such as University and Collage Degree in Education, Military, Business, Finance, Economics, Graduate, Health Insurance, Management, Finance/Economics, History

Skills for Investment Advisor

Desired skills for investment advisor include:

Ability to leverage that information in creating customized customer solutions
Values and practices that align customer needs and satisfaction as primary considerations in all business decisions
Ability to encourage
Ability to implement effective strategies and activities that promote long-term customer loyalty
Ability to sell an organization's products and services
Coaching concepts and methods
Guide individuals
Teams in learning and improving effectiveness
Techniques and the ability to work with a variety of individuals and groups in a constructive and collaborative manner

Desired experience for investment advisor includes:

Proficiency and working knowledge of PC software applications
Must have an entrepreneurial spirit in building a book of clients through networking, cold calling, prospecting, referrals and seminars
Employee Relations case management experience
A successful candidate will have the relevant skills and qualifications mentioned above
North America’s largest team of wealth management specialists to provide one-on-one support to help you address your clients’ financial, retirement, tax, estate planning and charitable legacy needs
Relevant post secondary degree or diploma required

Investment Advisor Examples


Investment Advisor Job Description

Job Description Example
Our company is looking for an investment advisor. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for investment advisor
  • Recommend an appropriate mix of funds, explaining the funds’ characteristics, how they differ from other funds, and why they are the most appropriate funds for the client
  • Work closely with outside professionals to add value for existing and potential mutual clients
  • Book Wealth Management client meetings and follow through with the team and clients on actionable items
  • Educate and consult with plan participants on the Advisory Services available through their plan the methodology behind the services to assist the participant reach their retirement goals
  • Must possess knowledge of the participant’s financial portfolio objectives, asset composition and past historical information
  • Must be able to explain and justify past returns in comparison to economic environment, while acknowledge goal of managed account services
  • Identifies, executes and follows up on opportunities to contract additional client assets while providing client retirement planning discussions
  • Identifies trends and determines proactive solutions to maximize service quality and increase assets under management
  • Make assigned and proactive outbound calls, focusing on defined objectives set for outbound call campaigns
  • Goals and results oriented with high level of accountability to produce positive results that directly correlate to retention and increasing assets under management and participant growth for managed accounts
Qualifications for investment advisor
  • CAIA or CFA is preferred
  • Must be able to drive the fund sales in North Asia
  • CSC and CPH preferred
  • Registration as Registered Representative (RR) preferred
  • Ability to generate new contacts through networking, cold calling, prospecting, referrals, seminars
  • Knowledge of and ability to use various techniques to design and implement investment strategies according to investment objectives to provide effective portfolio management and to maximize investment returns

Investment Advisor Job Description

Job Description Example
Our innovative and growing company is hiring for an investment advisor. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for investment advisor
  • Document information from conversations in with clients pertinent to business and relationship development to be referenced for follow-up calls
  • Sales and Services
  • Passion for delivering exceptional client service
  • Unprecedented will to strive for excellence in a performance driven environment
  • Assisting the client in implementing the strategy through assisting them in building portfolios by providing detailed information and comparisons of investment funds
  • Take clients through a profiling and needs assessment process in order to determine appropriate asset allocation
  • Accept client trades and instructions over the phone while ensuring these are consistent with client Investor Profile information and adhere to all compliance and regulatory requirements to the highest ethical standards
  • Identifying and providing solutions to a wide range of client needs including investments, banking, credit, FX (Foreign Exchange) and wealth structuring (trusts )
  • Strong, proven consultative sales skills Negotiation and problem solving skills to identify and address issues
  • Research, plan and build community investment partnership plans to assist regional representatives in adding capacity in communities and building long lasting relationships in key regions where we operate
Qualifications for investment advisor
  • Annually reviews fees and asset mix for each relationship
  • Ensures completion and consistent review of an Investment Policy Statement and Individual Wealth Plan for each relationship
  • Accountable for positive net growth in assets under management
  • Accountable for referring Investment only clients to Relationship Manager to increase banking and lending product sales
  • Uses expense budget appropriately to support Client and business activities
  • Records Client correspondence, communications, meetings and sales activity in as appropriate

Investment Advisor Job Description

Job Description Example
Our company is growing rapidly and is hiring for an investment advisor. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for investment advisor
  • Advise on appropriate budget level to support strategy in line with Community Investment vision
  • Develop activation plans, including business cases to demonstrate the strategic value of partnerships
  • Develop and execute partnerships in collaboration with Community Relations and Communications Advisors
  • Leverage, track and report on success of partnerships
  • Assess existing partnerships and advise on further leveraging opportunities and strategic value
  • Investment advisors will have significant interaction with key stakeholders from across the business including banker teams, Investment Solutions product areas, wealth advisory and investment services, to name a few
  • Within the context of their local team and across Investment Solutions, an investment advisor is expected to contribute to idea generation, product development and the ongoing enhancement of the investment proposition
  • The IA will deliver wide ranging investment content as a thought leader at banker team meetings, larger business investment briefings and external conferences/presentations where required
  • Strong consultative, negotiation and problem solving skills to identify and address client needs
  • Responsible for supporting investment projects for IC or board approval and validating business cases
Qualifications for investment advisor
  • Ensures proper administration of Client accounts and coordination of services in compliance with Company policies and applicable laws and regulations
  • Ensures all new relationships are following proper account acceptance guidelines
  • Ensures only approved products and services are sold to HNW clients in conjunction with Regulatory, Firm and division policies
  • Responsible for fostering and contributing to a positive and constructive work environment with a focus on supporting the overall Wealth team
  • 2 years Financial Industry Experience or recent college graduate with appropriate business/finance degree
  • FINRA Series 65 registration will be required within 90 days of hire

Investment Advisor Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of investment advisor. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for investment advisor
  • The senior investment advisor must an efficient and clear communicator to stakeholders and decision makers
  • You will work with all levels of our organization which requires a clear understanding of the level of quality and commitment required to meet ambitious targets and constantly improve our business and investment projects
  • Passionate about speaking with people and delivering exceptional service and advice
  • Eagerness to expand knowledge and learn new skills
  • Lead efforts to provide comprehensive analysis and guidance on industry trends, legislative and regulatory changes
  • Review, interpret, assistance and oversight of compliance with newly enacted and existing laws and regulations that impact the Registered Investment Advisor and Digital Advisor
  • Governance over the algorithm and electronic trading systems
  • Responsible for administering code of ethics, attestations, and the overall compliance program
  • Make strategic/operational recommendation to business partners and design creative solutions for complex customer needs
  • Develops and advises clients on investment options that are available under various retirement plans by analyzing several institutional research data investment analysis platforms such as Morningstar Direct
Qualifications for investment advisor
  • History of high achievement demonstrated by a proven record of exceeding goals and outperforming peers
  • Comfortable working in a call center
  • Obtain Series 65 Uniform Investment Advisor Law license as a condition of employment and desire to obtain Chartered Retirement Plan Counselor (CRPC®) designation
  • Bachelor Degree in Commerce, Accounting, Sales management
  • The job holder must have experience of or at least be at ease with clients from differing social, religious, ethnic and cultural backgrounds
  • Must have a minimum of 5 years in a frontline customer contact role, preferably with previous exposure to a wide range of client segments

Investment Advisor Job Description

Job Description Example
Our company is hiring for an investment advisor. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for investment advisor
  • Proactive Account Management with dedicated alignment
  • Investment Maximization and helping customers realize the value
  • Responsible for governance, which involves designing processes, procedures and long term technology road map to maximize value creation in accordance with Software Investment Advisory’s objectives
  • Provides constructive feedback during customer facing account reviews to ensure continuous services improvement and innovations
  • Drives strategic discussion with multiple stakeholders at various levels (including C level) and delivers professional presentations and tenders up to Board level
  • Builds strong relationship internally and externally and acts as a facilitator for the flawless execution of Software Investment Advisory’s services
  • Leads and contributes towards multiple virtual project teams aimed towards improving customer engagement and service enablement
  • Owns the success of your activity against KPIs such as customer satisfaction, activity outcomes and service delivery timelines
  • Creates systematic business planning, monitoring and reporting of your activity for assigned area
  • Supports peers in acquiring experience
Qualifications for investment advisor
  • A good knowledge of the Bank’s global representation and correspondent network, the Bank’s Global Premier network and an awareness of the Bank’s international trade products
  • Computer literacy and basic knowledge of Microsoft Office Suite software Word, Outlook / outlook express and IE
  • Be willing to travel internally within SA
  • Bachelor's degree preferred with an emphasis on business and communications
  • We need a candidate who possesses very good analytical background
  • At least 3 – 5 working experience in private bank, fund management.Fresh grads can be considered with outstanding potential

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