Investment Advisory Job Description

Investment Advisory Job Description

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Investment advisory provides compliance support and guidance to the LFN Managed Account business, IA Compliance program and AVP, Advisory Compliance, including facilitating reviews of compliance policies and procedures, compliance testing, year-end reporting, assisting with investment advisory compliance policies, suitability and surveillance processes, and consulting with LFN Investment Advisory business partners.

Investment Advisory Duties & Responsibilities

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

Sample responsibilities for this position include:

Research and design investment solutions that leverage multiple investment vehicles, including mutual fund, ETFs, structured products, separately managed strategies, and insurance products
Act as the subject matter expert and project leader for enhancements made to current advisory programs and the development of new programs
Perform regular reviews of sales practice issues related to advisory accounts
Assist with the annual review of investment advisory policies and procedures
Responsible for monitoring any rule changes or regulatory developments relating to investment advisers and assisting with the development of policies and controls to meet any new or modified requirements
Assist with the maintenance of Form ADV Part 2A and 2Bs for financial advisers
Assist with SEC filing for discretionary managed assets (13F, D, G and similar filings)
Perform annual reviews of the firm’s agency cross trade and principal trade procedures
Work with Financial Planning, Consulting Services, and Wealth Management to ensure adequate review of their respective programs
Identify gaps in platform offerings by understanding competitors’ platforms additions/revisions identified by Advisory, Research, or reduce risk

Investment Advisory Qualifications

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

Licensing or Certifications for Investment Advisory

List any licenses or certifications required by the position: PMP, TOGAF, VM, CISA, ITAM, CSAM, ITIL, CPA, CFP, ISTQB

Education for Investment Advisory

Typically a job would require a certain level of education.

Employers hiring for the investment advisory job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in Finance, Accounting, Education, Real Estate, MBA, Computer Science, Financial Services, Business, Economics, Management

Skills for Investment Advisory

Desired skills for investment advisory include:

Word
Excel
Outlook
Systems
ETFs
Professionally managed investment products
Advisory and investment concepts
Advisory programs
Asset allocation strategies and equity strategies
Edward Jones business model

Desired experience for investment advisory includes:

Professional qualifications such as CFA/CAIA would be an advantage
Good team player though with the ability to work independently
Thrives under pressure and effectively manages ambiguity
Demonstrated success managing strategic projects and initiatives
Solid understanding of the Private Wealth Management line of business, its services, client profiles and teammate roles and responsibilities
Strong UK corporate tax technical knowledge and an appreciation of the interaction of other tax disciplines

Investment Advisory Examples

1

Investment Advisory Job Description

Job Description Example
Our company is hiring for an investment advisory. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for investment advisory
  • Write technical business requirements
  • Perform duties objectively and to support sustainable growth in an independent manner
  • Asset allocation for a specific asset class
  • Lead, develop and grow a team
  • Work in partnership to support internal departments and committees in making better informed decisions consistent with the firm's long-term strategy
  • Deliver effective written and verbal communication to financial advisors, internal departments, firm leaders, and mutual fund and money management firm contacts
  • Daily management of phone and email inquiries, including selling fund offerings to targets
  • Ownership for a group of target IFAs to develop from prospects and turn to clients
  • Regular maintenance of CRM System, Salesforce
  • Diary management and general support for up to two sales managers, for the UK advisory business, ad hoc responses to other requests
Qualifications for investment advisory
  • CFA or similar advanced studies in investment disciplines
  • Ability to partner with multi-disciplinary teams to develop clear, complete and effective business and functional requirements
  • Cogent, effective writing, communication and presentation skills
  • Strong background in investment strategy, asset allocation and portfolio construction
  • Willingness and ability to thrive in a hands-on, rapid growth investment environment
  • 3-5 years experience in capital markets and/or mutual fund industry
2

Investment Advisory Job Description

Job Description Example
Our company is growing rapidly and is hiring for an investment advisory. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for investment advisory
  • Works directly with branch-office teams to educate and provide solutions on questions regarding financial goals through our various advisory programs
  • Complete hypos, illustrations and comparisons for brokerage and advisory programs
  • Using extensive breadth and depth of knowledge, systems and tools that span across 4-5 topical areas and/or divisions, provide branch teams with solutions that specifically meet client objectives
  • Provide information and guidance to branch teams on multiple advisory program choices, their features and benefits, different investment products, and various systems/tools
  • Joining Senior Portfolio Managers to interview hedge fund, alternative, and traditional asset managers to perform qualitative and quantitative due diligence
  • Write research reports and provide opinions on managers
  • Negotiating investment manager agreements, including fees and terms
  • Ongoing monitoring of existing client mandates
  • Collecting returns and exposure data for performance attribution and risk analysis
  • Informing colleagues and clients of developments in alternative asset classes
Qualifications for investment advisory
  • Innovative self-starter who works well under time pressures
  • Ability to function independently in an unstructured environment
  • Team player who works collaboratively with others
  • Experience with Morningstar Direct and Bloomberg would be an asset
  • A degree from a four-year college or university with relevant coursework in finance or accounting
  • Prefer someone with one to two years of Analyst-level Investment Banking or Capital Markets experience
3

Investment Advisory Job Description

Job Description Example
Our company is looking to fill the role of investment advisory. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for investment advisory
  • Maintain awareness of trends in managed accounts, mutual funds, ETFs and SMAs
  • Analyzing alternative publications for thought leadership initiatives, marketing trends, and industry white papers
  • Responsible for the daily management and performance of an Investment Advisory Service team
  • Ensure that phone calls and service requests are responded to in an accurate and timely manner
  • Collaborate with Investment Advisory leaders and associates on timely events and trading issues
  • Assist with automation projects/enhancements, including workflow analysis, project design, and implementation
  • Help to organize and lead the planning and execution of the department business plan and corresponding goals and objectives
  • Quickly determine the extent of a problem or concern and if required, effectively communicate directly with the client, Financial Advisor, BOA, or third party to resolve it in a timely fashion
  • Maintain an in-depth understanding of equity and fixed income concepts
  • Provides counsel, training and guidance to branch teams on advanced client scenarios, solutions, program suitability, features, and marketing strategies
Qualifications for investment advisory
  • Completion of CFA program or currently enrolled
  • The ideal candidate is thorough, does careful work and is eager to learn about credit analysis
  • Excellent quantitative and analytical skills are a must
  • Prior investment advisory experience
  • Ability to collaborate and partner effectively within the team internal and external business partners
  • Project Management capabilities a plus
4

Investment Advisory Job Description

Job Description Example
Our growing company is looking for an investment advisory. 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 advisory
  • Understand key branch processes such as the client appointment process, Five Step process and branch workflow to ensure these are integrated into solutions recommendations for branch teams
  • Ability to probe for information to diagnose branch/client needs and provide alternatives or best practices
  • Devise strategies to grow the online securities business for Consumer Banking Group
  • Drive digital and journey transformation projects which support strategic digital capability development for investment products
  • Responsible for the planning, budgeting and documenting all aspects of the specific projects related to digitalization
  • Assist in planning and drive Unit Trust investment initiatives
  • Develop effective sales incentive plan, sales aids, sales flow and training materials to increase sales efficiency and reduce cost / lead time
  • Coordinate with fund partners to launch new products in compliance with internal & external guidelines and regulatory requirements
  • Conduct market analysis timely to identify business opportunities / threats, initiate appropriate product strategies / plan including distribution capability to optimize the business results
  • Revamp / improve products on shelf, review documentation / sales process, streamline operation flow while adhering to both internal policies and regulatory requirements
Qualifications for investment advisory
  • Familiarity with and ability to use CRM system for tracking advisor meetings, pipeline management
  • The ideal candidate will possess significant mutual fund advisory experience
  • Demonstrable critical thinking and analytical capabilities
  • Proficient written, verbal and presentation skills
  • Series 7 and 66 required within 6 months of hire, if not currently licensed
  • Extensive knowledge of asset allocation, portfolio construction, and portfolio risk management
5

Investment Advisory Job Description

Job Description Example
Our company is looking to fill the role of investment advisory. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for investment advisory
  • Prepare regular reports and ad-hoc presentation for the review of management and regulators
  • Provide direction and guidance and serve as subject matter expert to internal/external business associates on investment advisory compliance issues, including fiduciary responsibility, advisory regulation, strategic relationships, and permissible activities under firm policy and the Investment Advisers Act of 1940
  • Serve as liaison to internal departments in terms of appropriate structure for strategic relationships
  • Utilize knowledge of investment advisory regulation in the oversight of independent RIA firms and their required adherence to LFS Independent RIA Policy
  • Develop communications regarding current issues in advisory compliance, and new or updated compliance policies or SEC regulations for Compliance Alerts to home office and field associates
  • Manage complex compliance projects, as requested by Compliance management
  • Work with key compliance and business partners to develop, maintain and conduct initial and ongoing compliance training and education for LFN advisors and home office personnel
  • Manage creation, updating, delivery and maintenance of ADV 2B disclosure brochures
  • Manage adherence to the Code of Ethics reporting requirements under the Investment Advisers Act of 1940 by managing system and staff for reporting of personal securities accounts and activity, political contributions, and annual attestation to compliance procedures
  • Manage Compliance Specialist’s responsibilities regarding creation and support of ADV 2B disclosure brochures, and system maintenance and field support of Code of Ethics reporting and compliance certifications
Qualifications for investment advisory
  • Demonstrated success in conducting investment due diligence, making investment recommendations, and portfolio construction
  • Ability to build relationships of trust with senior management in the business and from Compliance and other oversight and control teams
  • In-depth knowledge of IFRS (IAS 39) & US GAAP (FAS 133) and SEC regulations on derivatives and hedge accounting is required
  • Previous relevant experience in an accounting policy department of a financial institution
  • Strong project management skills including the ability to provide leadership, project accountability and coaching
  • Ability to meet objectives with little direction by applying planning and analytical skills

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