Insight Global
Role Summary
The Financial Advisor (FA) role is a three‑year program with a forgivable draw, designed for financial advisors or planners who will provide financial planning guidance and sell investment management solutions. An FA will serve as the central point of contact, delivering client service and developing relationships to achieve greater share of wallet by helping clients reach their goals related to asset accumulation, preservation, growth, and protection.
Responsibilities
Experience selling investments and providing financial plans.
Demonstrate a commitment to being customer‑centric by delivering legendary service during every customer interaction to maximize retention and growth.
Ensure all new clients receive a complete onboarding experience, including thorough client discovery, a financial needs analysis, introduction to the centralized client servicing team, and completion of all requisite documents.
Partner and promote lead generation.
Manage goals, prioritize tasks, and work effectively in a fast‑paced environment.
Ensure all new and existing clients receive a planning experience.
Implement a process to ensure every client receives an annual client review meeting with an enhanced agenda focused on the client’s overall wealth needs and proactive contacts.
Serve as the primary point of contact for wealth client relationships; manage all aspects of the client’s relationship with the bank and refer to retail and wealth partners & affiliates as needed.
Implement and execute a differentiated service model/experience for wealth clients.
Meet quarterly and annual sales goals.
Deepen wallet share by anticipating client needs and suggesting the most appropriate wealth solutions, maximizing profitability while ensuring an exceptional client experience.
Identify opportunities within your portfolio and network to refer business to retail and small‑business/commercial partners.
Execute in a thorough manner that is compliant with regulations, policies, and procedures.
Adhere to all federal, state, SRO regulations and firm policies related to all business activities (e.g., OCC, SEC, state insurance commissioners, NY Department of Financial Services, etc.).
Ensure all continuing education requirements are attained.
Understand and adhere to bank and wealth policies and procedures.
Implement the Customer Identification Program (CIP) by collecting and verifying required customer identification information, and perform other customer due diligence and enhanced due diligence requirements as outlined in the business unit AML procedures.
Uncover client assets and transition high‑threshold clients to appropriate high‑net‑worth wealth partners as needed.
Foster and contribute to a positive and constructive work environment, focusing on supporting the overall wealth team.
Provide coaching, wealth‑referral training, and ongoing feedback to retail and small‑business staff.
Contribute individually and as a teammate and mentor to new FAs to ensure strong performance, collaboration, and enthusiasm.
Represent wealth to the general public professionally.
Participate in community and support charity and community initiatives.
Qualifications
Four‑year degree required or equivalent work experience.
Two or more years of selling investments and providing financial planning with a track record of success.
In‑depth knowledge of investment products and services.
Required registrations: SIE, Series 7, and Series 65/66; if only Series 65, must obtain Series 63 or 66 within the licensing schedule.
Required life/health licenses or ability to obtain them within the licensing schedule.
Compensation Up to $112,320 per year base salary, with exact compensation varying based on skills, experience, and education.
Benefits Employees enjoy a comprehensive benefits package starting on day one, including medical, dental, and vision insurance; eligibility to enroll in the 401(k) retirement plan begins after 90 days; and access to paid sick leave and other paid time off as required by applicable law.
Base Pay Range $80,000.00/yr – $112,000.00/yr
Seniority Level Associate
Employment Type Full‑time
Job Function Sales and Finance
Industries Banking and Investment Banking
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Responsibilities
Experience selling investments and providing financial plans.
Demonstrate a commitment to being customer‑centric by delivering legendary service during every customer interaction to maximize retention and growth.
Ensure all new clients receive a complete onboarding experience, including thorough client discovery, a financial needs analysis, introduction to the centralized client servicing team, and completion of all requisite documents.
Partner and promote lead generation.
Manage goals, prioritize tasks, and work effectively in a fast‑paced environment.
Ensure all new and existing clients receive a planning experience.
Implement a process to ensure every client receives an annual client review meeting with an enhanced agenda focused on the client’s overall wealth needs and proactive contacts.
Serve as the primary point of contact for wealth client relationships; manage all aspects of the client’s relationship with the bank and refer to retail and wealth partners & affiliates as needed.
Implement and execute a differentiated service model/experience for wealth clients.
Meet quarterly and annual sales goals.
Deepen wallet share by anticipating client needs and suggesting the most appropriate wealth solutions, maximizing profitability while ensuring an exceptional client experience.
Identify opportunities within your portfolio and network to refer business to retail and small‑business/commercial partners.
Execute in a thorough manner that is compliant with regulations, policies, and procedures.
Adhere to all federal, state, SRO regulations and firm policies related to all business activities (e.g., OCC, SEC, state insurance commissioners, NY Department of Financial Services, etc.).
Ensure all continuing education requirements are attained.
Understand and adhere to bank and wealth policies and procedures.
Implement the Customer Identification Program (CIP) by collecting and verifying required customer identification information, and perform other customer due diligence and enhanced due diligence requirements as outlined in the business unit AML procedures.
Uncover client assets and transition high‑threshold clients to appropriate high‑net‑worth wealth partners as needed.
Foster and contribute to a positive and constructive work environment, focusing on supporting the overall wealth team.
Provide coaching, wealth‑referral training, and ongoing feedback to retail and small‑business staff.
Contribute individually and as a teammate and mentor to new FAs to ensure strong performance, collaboration, and enthusiasm.
Represent wealth to the general public professionally.
Participate in community and support charity and community initiatives.
Qualifications
Four‑year degree required or equivalent work experience.
Two or more years of selling investments and providing financial planning with a track record of success.
In‑depth knowledge of investment products and services.
Required registrations: SIE, Series 7, and Series 65/66; if only Series 65, must obtain Series 63 or 66 within the licensing schedule.
Required life/health licenses or ability to obtain them within the licensing schedule.
Compensation Up to $112,320 per year base salary, with exact compensation varying based on skills, experience, and education.
Benefits Employees enjoy a comprehensive benefits package starting on day one, including medical, dental, and vision insurance; eligibility to enroll in the 401(k) retirement plan begins after 90 days; and access to paid sick leave and other paid time off as required by applicable law.
Base Pay Range $80,000.00/yr – $112,000.00/yr
Seniority Level Associate
Employment Type Full‑time
Job Function Sales and Finance
Industries Banking and Investment Banking
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