Senior Financial Advisor & Senior Investment Analyst

Position Overview:

The Senior Financial Advisor & Senior Investment Analyst plays a key role at Colton Groome Financial, serving as both a trusted advisor to clients and a strategic contributor to the investment team. This dual-role position requires expertise in financial planning, investment analysis, and portfolio management while maintaining a client-first mindset. As a Financial Advisor, this individual will lead clients through the financial planning process, provide investment recommendations, and coordinate resources across the firm to ensure a seamless client experience. As a Senior Investment Analyst, they will work closely with the investment committee to analyze data, identify investment opportunities, and contribute to portfolio strategy and firm-wide asset allocation decisions. Additionally, they will support trading operations, mentor junior investment team members, and drive process efficiencies using the firm’s technology stack. This position is ideal for a highly analytical, detail-oriented professional with a passion for investment research, financial planning, and client relationships.

Must-haves for this role:

·        Relatability and authenticity as this position will eventually lead 50 client relationships

·        Ability to proactively manage client relationships, lead financial planning meetings, and coordinate with external professionals (CPAs, attorneys, etc.)

·        Strong investment analysis skills, including data interpretation, portfolio construction, and risk assessment

·        Willingness to become proficient using financial technology platforms. These include Orion, eMoney, and Salesforce for investment operations and client management

·        Deep understanding of financial planning principles, tax-efficient portfolio transitions, and investment strategies

·        Strong communication skills to present recommendations to both internal teams and clients

·        Self-starter who can work independently while also contributing to team goals

·        Coachable and process-oriented

·        Ability to thrive in a fast-paced environment, juggling multiple responsibilities while maintaining accuracy and attention to detail

Essential Job Functions and Responsibilities

Financial Advisor

• Serve as both a Lead Advisor or Support Advisor to clients, depending on complexity of the client and needs of the firm. Ability to lead clients through the Financial Planning Process in either role. 
• During onboarding of new clients, work to gather necessary information and populate technology resources (Salesforce, Orion, Box, eMoney) for implementation and recommendations.
• Prepare for Financial Planning appointments ahead of the meeting. Utilize Colton Groome pre-set meeting agenda topics based on service level as a guide for meeting prep responsibilities. Lead in updating of these agendas as necessary.
• Coordinate appropriate resources (Investment, Retirement, Insurance) for upcoming meetings and development recommendations.
• Proactively integrate new technology and best ideas into the financial planning process. Be one of the eMoney software champions within the firm; alert the team to new features for best practice utilization and updating current processes.
• Utilize current process for meeting follow-up notes and task completion process with proactive client communication along the way.
• Expectation is that all client financial planning, investment and client service related matters are handled and / or coordinated by this role directly with the client or appropriate party. 
• Coordinate with client’s CPA and Attorney when needed.
• Review quarterly investment reports to clients.
• Assist to maintain and update portfolio management database (Orion) and CRM (Salesforce).
• Coordinate client new account paperwork; manage new account set-up process.
• Where appropriate, look for new business opportunities.

Senior Investment Analyst

• Be an active contributor to the investment committee providing thought leadership and helping to create a repetitive structure and process.
• Work with the investment committee to provide a feedback loop to management on firm wide and portfolio asset allocation, performance and client appropriate communication pieces.
• Assist with searches for new investments through both quantitative and qualitative analysis.
• Compile and analyze investment data through Morningstar, Y-Charts and possibly Bloomberg.
• Assist with ad-hoc requests from the firm’s financial advisors as well as other members of the research team.
• Work with Lead Advisors to develop suitable portfolio recommendations for individual clients in coordination with their financial planning recommendations.
• Provide investment research and analyst work for all new prospects. Formulate a transition plan with / as the Lead Advisor based on the client’s risk tolerance and objectives. Consider tax consequences.
• Provide the insurance, securities department and lead advisors with a recommended insurance and / or annuity sub-account portfolio based on the product and client’s objectives. Proactively work with the insurance team to update all insurance policies to our current recommended model.

Investment Operations & Trading

• Provide guidance and mentorship to junior investment analyst, ensuring best practices in portfolio management and trading.
• Master firm trading software (Orion/Eclipse) for firm wide and client specific rebalancing / realignment of portfolios as needed.
• Assist to maintain and update portfolio management database (Orion) and CRM (Salesforce).
• Provide back-up for investment operations when needed.
• Support RIA compliance operations as necessary.

Adherence to Company Values:

o  Client First - We are driven by a culture of service, ensuring client needs come first, owning our mistakes, and always acting in the best financial interest of our clients as if it were our own money.

o  Integrity Always - We do the right thing, always, building on our 75-year foundation of trust through honesty, authenticity, and a strong moral compass in every interaction.

o  Teamwork - We believe in collaboration, valuing collective wisdom, supporting one another’s successes, and maintaining professionalism and positivity—even under pressure.

o  Continuous Pursuit of Excellence - We embrace personal and professional growth, innovation, and a mindset of improving rather than complaining, ensuring we serve our clients better every day.

o  Overprepare and Overcommunicate - We take initiative, anticipate questions, follow up proactively, and work with urgency and diligence to provide the best client experience.

Qualifications:

o  Bachelor’s Degree (Required)

o  Industry Certifications / Designations – CFP®, CFA and / or JD, MBA Preferred

*Comprehensive benefit package & potential company bonus structure of up to 15% of base salary will be available.

About Colton Groome Financial

Colton Groome Financial is Western North Carolina’s oldest independent financial planning firm. We are family-owned and were founded on the principles of precision, perseverance, and thoroughness. We provide concierge-level wealth management services, corporate retirement planning, and insurance strategies for individuals, families, businesses, and nonprofits ready to navigate life’s peaks and valleys, toward optimal financial outcomes. At Colton Groome, you’ll have the opportunity to work with a dynamic team, leverage industry-leading technology, and make a real impact on clients' financial possibilities.