What are the responsibilities and job description for the Financial Advisor position at KEATING?
At Keating & Associates, each individual has a unique ability, a unique story, and a unique contribution that is vital to our success. With diverse experiences, cultures, backgrounds, and beliefs we are a better company, and we better serve our valued clients. True teamwork is only possible when we embrace that our differences make us better together. By creating an environment where people are welcomed and equipped to do their best, we fully embrace our core values of excellence, abundance mindset, and teamwork.
What Keating and Associates can offer you!
Keating and Associates, Inc.
Financial Advisor
Job Summary
We are seeking an engaging 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. You will also be serving individual and family clients within a Keating & Associates centralized book of business to provide excellent investment management and financial planning tailored to the client's goals. This role requires an 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:
Required qualifications:
What Keating and Associates can offer you!
- Professional Development
- 9 paid holidays, including your birthday!
- 401(k) with company match
- Employer-Paid Disability, Life Insurance, and Employee Assistance Program
- Health, Vision, and Dental Plans
- Dependent Care and Flexible Spending Accounts
- Paid Time Off
- Fun Company Events such as Lunch & Learns, Virtual Staff Hangouts, Annual All Company Weekend, Lunch Bunch, and more!
Keating and Associates, Inc.
Financial Advisor
Job Summary
We are seeking an engaging 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. You will also be serving individual and family clients within a Keating & Associates centralized book of business to provide excellent investment management and financial planning tailored to the client's goals. This role requires an 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.
Required qualifications:
- Strong understanding of retirement plans and investment strategies.
- Familiarity with regulatory requirements and compliance in the financial industry.
- Proficiency in financial software and tools.
- Series 65 and life, health, and variable licensing already obtained
- Familiarity with 401k sales and plan management.
Qualifications within six months of hire:
- Ability to obtain the Accredited Investment Fiduciary (AIF) designation or Certified Plan Fiduciary Advisor (CPFA) within six months
- Relevant certifications such as ASPPA’s Qualified 401(k) Specialist (QKS) credential, or ability to obtain within 6 months
Desired skills include:
- Excellent communication and interpersonal skills with the ability to initiate conversations and build rapport with clients.
- Ability to develop and maintain strong client relationships.
- 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 complete client casework to completion.
Salary : $70,000 - $79,999
