Financial Advisor - 401k Plans and Individual Clients

Keating and Associates, Inc.

Financial Advisor – Keating

Job Summary

We are seeking a highly motivated and qualified individual to join our team as a salaried Financial Advisor. This role involves servicing a book of current individual investment clients and a book of retirement plans as an advisor of record. You will be responsible for maintaining participant and plan sponsor relationships, facilitating employee enrollments, providing investment advice, conducting executive reviews, and bringing in new business through rollovers. This role requires a deep understanding of retirement plans, IRS & SEC regulations, and the ability to build strong service-focused relationships with clients.

This position is exempt, will be located onsite in either our Manhattan KS or Overland Park KS office, and reports to the TPA Department Manager. The salary for this position is $70,000-80,000.

Responsibilities include and are not limited to:

• Manage and service existing 401k plans and participant retirement accounts as financial advisor by addressing client inquiries, conducting regular reviews, and ensuring ongoing compliance and satisfaction.
• Meet with a provided list of clients annually to review their current financial situation and investments accounts. This would entail reviewing overall information with clients and identifying recommendations for those individuals within the Keating Central book of business.
• Prepare, present, and execute financial planning when appropriate with individual investment management clients
• Provide life insurance recommendations applicable for individual clients
• Follow through on actionable items for all clients following review meetings, phone calls, and emails from clients, maintaining organized files and compliant meeting notes related to clients in our CRM system.
• Client meeting scheduling, preparation, and communication.
• Develop and implement sales strategies to capture rollover account opportunities with existing clients and plan participants
• Conduct enrollment presentations and meetings with clients
• Provide expert investment advice to plan participants and individual clients
• Collaborate with vendors, wholesalers, and other financial advisors to bring in new business to the TPA Department through external to Keating advisors wishing to utilize our TPA services on their plans. Conduct presentations and meetings to explain the benefits of 401(k) plans that are compliant with regulations, in collaboration with TPA Department
• Stay updated on industry trends, regulations from governing bodies and best practices in retirement planning and investment management
• Maintain accurate records of client interactions, meetings, and sales activities
• Other duties as assigned
  
  

Desired qualifications and skills include:

• Required: Experience with financial advisory and planning services, including asset classes, products, and portfolio management
• Required: Familiarity with regulatory requirements and compliance in the financial industry
• Required: Proficiency in financial software and tools
• SEC-qualified for all licensing requirements, including Series 65 as well as the Accredited Investment Fiduciary (AIF) designation or Certified Plan Fiduciary Advisor (CPFA) and a current life, health, and variable insurance license
• Proven experience in 401k sales and plan management
• Relevant certifications such as ASPPA’s Qualified 401(k) Specialist (QKS) credential, or ability to obtain within 6 months
• Strong understanding of retirement plans and investment strategies
• Excellent communication and interpersonal skills with the ability to initiate conversations and build rapport with clients
• Ability to develop and maintain strong client relationships
• Detail-oriented with strong organizational skills
• Proficiency in Microsoft Office Suite and CRM softwares
• Comfortable with both remote and in-person client interaction.
• Strong analytical and research skills
• Excellent organizational and task management skills to keep track of client casework and follow through to completion
  
  

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