Financial Advisory - Service Advisor
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Key details
- Location
- Lexington, KY, United States
- Work style
- Onsite
- Level
- Mid level
- Experience
- 3–5 yrs
- Function
- Finance & Accounting
- Focus area
- other
- Posted
- 2d ago
Skills
business developmentcalibrationcrmestate planningfinancial planningportfolio managementproject managementrelationship management
About the role
Lead with Purpose. Partner with Impact.
The Service Advisor services and manages client relationships, generally Tier 3 and 4 clients with potential for select Tier 2 relationships, delivering financial planning, investment, and wealth management advice with limited oversight. Building on CFP® knowledge and real-world experience, the Service Advisor manages the full client-service process for an assigned book of business and consults a Lead Advisor or Director of Wealth Management on complex or high-stakes decisions.
This individual is a proven, developing professional who deepens existing relationships, mentors Support Advisors, and is on the path toward the Lead Advisor role, consistently reflecting our Simple Excellence and Collaborative Team values.
What You’ll Do:
Autonomy: Works with limited oversight, initiating and completing client service and tasks with minimal supervision and navigating client challenges with less continuous guidance.
Client Relationship Management: Manages and is accountable for a book of client relationships, generally Tier 3 and 4 with potential for select Tier 2 clients, serving as the primary advisor for those relationships and setting personal milestones for client retention.
Financial planning: Independently manages significant portions of the seven-step planning process for standard cases, with evolving proficiency on more complex scenarios; prepares, delivers, and updates plans and finalizes assumptions with the Lead Advisor.
Technical disciplines: Competently applies insurance, investment, tax, retirement, and estate planning for typical client needs; recognizes tax-efficient opportunities, evaluates policy options, designs retirement income strategies, and coordinates with attorneys and CPAs on moderately complex matters.
Investment: Applies and explains the firm’s models and communicates rationale to clients. Developing knowledge of the macroeconomic environment in the context of portfolio selection with an ability to communicate this topic successfully with clients.
Ethics and conduct: Upholds ethical standards in client interactions with minimal supervision, discloses potential conflicts, maintains continuing education, and role-models professionalism for staff.
Business development: Grows the assigned book by identifying opportunities for additional services and generating referrals from existing clients. Independent prospecting and developing new business sources are not primary expectations and are supported by the office’s marketing efforts.
Mentoring and coaching: Mentors Support Advisors, shares knowledge with peers, and helps develop teammates in line with our Collaborative Team value.
Problem-solving: Uses education and experience to address more complex cases, analyzes client scenarios with planning tools, weighs options, and recommends process improvements.
What You Bring:
CFP® preferred; at minimum, Series 65 required.
Bachelor’s degree in a related discipline such as Accounting, Finance, or Economics
Typically 3 to 5 years of financial planning, service delivery, and client interaction
Track record of successful contributions to client service and project management
Solid working knowledge of financial planning, investment management, and wealth management
Ability to independently manage a book of client relationships with limited oversight
Strong client-facing communication and presentation skills
Sound judgment in recognizing when to escalate complex decisions
Proficiency in financial planning, CRM, and portfolio management systems
Ability to mentor and train Support Advisors
Ability to successfully coordinate across advisory, client service, and operations teams
Commitment to professionalism, accountability, and client focus
Measures of Success:
Responsible for a developing book of up to approximately $1M in revenue (illustrative and subject to firm calibration)
Client retention and satisfaction within the assigned book
Growth of existing relationships and referrals generated
Performance evaluations completed by the Director of Wealth Management
The Service Advisor services and manages client relationships, generally Tier 3 and 4 clients with potential for select Tier 2 relationships, delivering financial planning, investment, and wealth management advice with limited oversight. Building on CFP® knowledge and real-world experience, the Service Advisor manages the full client-service process for an assigned book of business and consults a Lead Advisor or Director of Wealth Management on complex or high-stakes decisions.
This individual is a proven, developing professional who deepens existing relationships, mentors Support Advisors, and is on the path toward the Lead Advisor role, consistently reflecting our Simple Excellence and Collaborative Team values.
What You’ll Do:
Autonomy: Works with limited oversight, initiating and completing client service and tasks with minimal supervision and navigating client challenges with less continuous guidance.
Client Relationship Management: Manages and is accountable for a book of client relationships, generally Tier 3 and 4 with potential for select Tier 2 clients, serving as the primary advisor for those relationships and setting personal milestones for client retention.
Financial planning: Independently manages significant portions of the seven-step planning process for standard cases, with evolving proficiency on more complex scenarios; prepares, delivers, and updates plans and finalizes assumptions with the Lead Advisor.
Technical disciplines: Competently applies insurance, investment, tax, retirement, and estate planning for typical client needs; recognizes tax-efficient opportunities, evaluates policy options, designs retirement income strategies, and coordinates with attorneys and CPAs on moderately complex matters.
Investment: Applies and explains the firm’s models and communicates rationale to clients. Developing knowledge of the macroeconomic environment in the context of portfolio selection with an ability to communicate this topic successfully with clients.
Ethics and conduct: Upholds ethical standards in client interactions with minimal supervision, discloses potential conflicts, maintains continuing education, and role-models professionalism for staff.
Business development: Grows the assigned book by identifying opportunities for additional services and generating referrals from existing clients. Independent prospecting and developing new business sources are not primary expectations and are supported by the office’s marketing efforts.
Mentoring and coaching: Mentors Support Advisors, shares knowledge with peers, and helps develop teammates in line with our Collaborative Team value.
Problem-solving: Uses education and experience to address more complex cases, analyzes client scenarios with planning tools, weighs options, and recommends process improvements.
What You Bring:
CFP® preferred; at minimum, Series 65 required.
Bachelor’s degree in a related discipline such as Accounting, Finance, or Economics
Typically 3 to 5 years of financial planning, service delivery, and client interaction
Track record of successful contributions to client service and project management
Solid working knowledge of financial planning, investment management, and wealth management
Ability to independently manage a book of client relationships with limited oversight
Strong client-facing communication and presentation skills
Sound judgment in recognizing when to escalate complex decisions
Proficiency in financial planning, CRM, and portfolio management systems
Ability to mentor and train Support Advisors
Ability to successfully coordinate across advisory, client service, and operations teams
Commitment to professionalism, accountability, and client focus
Measures of Success:
Responsible for a developing book of up to approximately $1M in revenue (illustrative and subject to firm calibration)
Client retention and satisfaction within the assigned book
Growth of existing relationships and referrals generated
Performance evaluations completed by the Director of Wealth Management