View all jobs
Wealth Advisor
Walnut, CA · Banking/LoansGeneral Summary
Responsible for identifying prospective clients with assets of at least $3MM or more and bringing them to The Private Bank (TPB) within company Wealth Management.
Duties & Responsibilities:
-Manages the relationship of high net worth (HNW) and ultra-high net worth (UHNW) clients of the Private Bank in coordination with Private Bankers, Fiduciary Advisory Specialists, Investment Strategists, Financial Advisors, Wealth Planners, Insurance Specialists and other professionals across company for prospect identification, client acquisition and for tailoring the delivery of products, services and resources available across company to clients based on their needs.
-Serves as relationship manager, informal leader of internal teams for Wealth Management.
-Leads Tactical Sales Process and Client Discovery Review to gather information about prospects and clients, future, goals and objectives.
-Engages practice experts in various company lines of business to deliver products and services across the full benefits of company offerings.
-Leverages services available across company to client benefits.
-Prepares and delivers presentations, investment and relationship reviews to clients.
-Refer business to the appropriate partner within or outside of department.
-Establishes relationships with centers of influence within the HNW/UHNW space.
-Ensures all appropriate measures are taken to mitigate risk.
-SAFE position has customer contact and may require the offering/negotiating of terms and/or taking an application for a dwelling secured transaction.
Required Work Experience, Qualifications &/or Education:
-3-4 years experience
-Compliance with SAFE Mortgage Licensing Act of 2008 and all related regulations.
-Ongoing employment is contingent upon meeting all such requirements, including background investigation results.
-Individuals in a SAFE position also must meet the Loan Originator requirement under Regulation Z (LO) in the job expectations.
- 5 years of financial services products and service recommendation experience.
-Series 7, and 66 or equivalent, plus Life Health Insurance licenses must be completed within 180 days of start date if not held at the time of hire.
-Compliance with state law requirements is mandatory.
-Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s). is required for ongoing employment in this position. In addition, state registration, specific product licenses SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Company will initiate the FNRA review process at the time of offer acceptance.
-This position requires SAFE registration at the time of employment. Company will initiate the SAFE registration process immediately after employment start date. The Nationwide Mortgage Licensing System (NMLS) provides the MU4R questions and registration required for employment in this position.
-Individuals in Loan Originator (LO) positions must meet the Consumer Financial Protection Bureau qualification requirements and comply with related company policies. The LO qualification requirements include meeting applicable financial responsibility character, general financial fitness and criminal background standards. A current credit report will be used to assess financial responsibility and credit fitness; however, a credit score is not included as part of the evaluation. Successful candidates must also meet ongoing regulatory requirements including additional screening if necessary.
Desired Qualifications:
-Existing book of business cultivated through personal business development efforts.
-Relationship management experience.
-5+ years of experience with high net worth and ultra-high net worth clients’ portfolios across a broad array of wealth management products and services.
-Experience teaming with specialists from different disciplines to meet the complex financial needs of clients.
-Commercial credit experience.
-Well-Developed centers of influence network.
-Extensive knowledge of the local market.
-Master of Business Administration, Certified Financial Planner, Chartered Financial Analyst, Certified Public Accountant or Juris Doctorate
***Excellent Salary – Depending Upon Experience
***Full-time Position
***US Citizen or Permanent Resident
***Full Benefits Package
Responsible for identifying prospective clients with assets of at least $3MM or more and bringing them to The Private Bank (TPB) within company Wealth Management.
Duties & Responsibilities:
-Manages the relationship of high net worth (HNW) and ultra-high net worth (UHNW) clients of the Private Bank in coordination with Private Bankers, Fiduciary Advisory Specialists, Investment Strategists, Financial Advisors, Wealth Planners, Insurance Specialists and other professionals across company for prospect identification, client acquisition and for tailoring the delivery of products, services and resources available across company to clients based on their needs.
-Serves as relationship manager, informal leader of internal teams for Wealth Management.
-Leads Tactical Sales Process and Client Discovery Review to gather information about prospects and clients, future, goals and objectives.
-Engages practice experts in various company lines of business to deliver products and services across the full benefits of company offerings.
-Leverages services available across company to client benefits.
-Prepares and delivers presentations, investment and relationship reviews to clients.
-Refer business to the appropriate partner within or outside of department.
-Establishes relationships with centers of influence within the HNW/UHNW space.
-Ensures all appropriate measures are taken to mitigate risk.
-SAFE position has customer contact and may require the offering/negotiating of terms and/or taking an application for a dwelling secured transaction.
Required Work Experience, Qualifications &/or Education:
-3-4 years experience
-Compliance with SAFE Mortgage Licensing Act of 2008 and all related regulations.
-Ongoing employment is contingent upon meeting all such requirements, including background investigation results.
-Individuals in a SAFE position also must meet the Loan Originator requirement under Regulation Z (LO) in the job expectations.
- 5 years of financial services products and service recommendation experience.
-Series 7, and 66 or equivalent, plus Life Health Insurance licenses must be completed within 180 days of start date if not held at the time of hire.
-Compliance with state law requirements is mandatory.
-Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s). is required for ongoing employment in this position. In addition, state registration, specific product licenses SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Company will initiate the FNRA review process at the time of offer acceptance.
-This position requires SAFE registration at the time of employment. Company will initiate the SAFE registration process immediately after employment start date. The Nationwide Mortgage Licensing System (NMLS) provides the MU4R questions and registration required for employment in this position.
-Individuals in Loan Originator (LO) positions must meet the Consumer Financial Protection Bureau qualification requirements and comply with related company policies. The LO qualification requirements include meeting applicable financial responsibility character, general financial fitness and criminal background standards. A current credit report will be used to assess financial responsibility and credit fitness; however, a credit score is not included as part of the evaluation. Successful candidates must also meet ongoing regulatory requirements including additional screening if necessary.
Desired Qualifications:
-Existing book of business cultivated through personal business development efforts.
-Relationship management experience.
-5+ years of experience with high net worth and ultra-high net worth clients’ portfolios across a broad array of wealth management products and services.
-Experience teaming with specialists from different disciplines to meet the complex financial needs of clients.
-Commercial credit experience.
-Well-Developed centers of influence network.
-Extensive knowledge of the local market.
-Master of Business Administration, Certified Financial Planner, Chartered Financial Analyst, Certified Public Accountant or Juris Doctorate
***Excellent Salary – Depending Upon Experience
***Full-time Position
***US Citizen or Permanent Resident
***Full Benefits Package