Opportunities Through FPAOC

To post an open position in the financial planning profession, please submit your ad in an email as an attachment in WORD to admin@fpaoc.org.

Job Opportunities

Relationship Manager (Posted 10/21/19)

WANTED – Relationship Manager

For over 18 years, McCarthy Wealth Management has been providing world-class financial advice to investors in the Orange County area. We are currently looking for a reliable Relationship Manager (RM) professional with great “people” skills to help us manage and enhance existing relationships with clients, strategic partners, and prospects and ensure personalized, Ritz Carlton®-level service and attention. The RM will be outgoing, friendly, and kind and also possess dominant and direct leadership skills to track overall follow through of tasks and projects throughout the office. Our team members are organized, enthusiastic, and dedicated. We want someone who shares these traits and will see the role of Relationship Manager as a career rather than just a job.

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Overview

The Relationship Manager’s main responsibility is to manage existing relationships effectively so that they can be taken to “the next level.”  The RM will recommend and advise on appropriate financial planning and investment strategies where it benefits the clients’ interests.  Additionally the RM will assist in joint client meetings and follow up and work flow progress throughout the office including tracking work flow of all team members.

Primary Responsibilities

  • Leading review meetings and owning the client relationship for 70 existing client relationships in the $500K to $1M invested assets range after a period of transition time.
  • Prepare all needed research for client reviews including financial analysis, financial plan preparation, investment research and analysis.
  • Follow through on projects and tasks from client review meetings and calls and also from and also from Wealth Manager (WM) projects and tasks.
  • Recommend investment solutions and participate in Investment Policy Committee meetings.
  • Tracking and providing motivation for all five team members to stay on track with projects, tasks and deadlines.
  • Regularly promote referrals with investable assets of $500K – $5M with each relationship.

Deliverables/Metrics

  • Completion of monthly client review schedule per the servicing model for client relationships.
  • Meeting summaries/notes within 24 hours of review meeting in Redtail contact relationship management (CRM)
  • Overall office projects and tasks are on schedule and progress in time sensitive manner.

Qualifications/criteria

All applicants preferred to have:

  • Bachelor’s degree.
  • Series 7, 66, and working on or already the CFP and/or CFA designation.
  • Preferred to have three years of industry specific experience.
  • Outstanding people-skills and relationship building skills. MUST enjoy meeting and speaking with people on the phone and in person.
  • Excellent knowledge of investment portfolios and financial planning solutions to recommend
  • Good computer skills including Microsoft Office. Knowledge of Redtail, Emoney a plus.

All applicants should be disciplined, organized, hard-working, reliable, and enthusiastic.

The ideal Relationship Manager will want to grow both personally and professionally in this position.  We see this role as a career, not a job, and want you to see it that way, too.

Compensation

An attractive compensation package will be offered to the final candidate commensurate with experience and ability. The package will include a competitive base salary, bi-annual bonus, health insurance benefits, 401(K) plan/Profit Share, 10 paid holidays and 3 weeks paid time off.

Interested candidates should submit a cover letter, resume and salary requirements to McCarthyWM@fscadvisor.com

 

Associate Financial Planner (Posted 8/22/19)

Summary of Duties

The Associate Financial Planner (AFP) is a full time entry level position with primary responsibility for all phases of financial plan preparation for our clients. Data collection, populating the planning software and drafting preliminary and final plans are included. The AFP will also be responsible as the lead back-up for our client service transactions, updating our CRM, and assisting with any compliance requirements. There will be frequent contact with clients, so the AFP must be personable and comfortable with regular interaction with clients of the firm.

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The AFP will be supervised by a CFP® professional, and therefore all hours on the job will qualify for the experience requirements for the CFP® certification. Newcastle has a generous reimbursement program for educational expenses leading to certifications and licensing.

The AFP position includes competitive full-time compensation with salary, bonus, health benefits, and a 401(k) plan. This is a perfect opportunity for a recent graduate who is ready to launch a career in financial planning. Newcastle is an independent fee-based RIA, and is located Fullerton, CA.

Find out more about us at www.newcastlefa.com

To apply for this position, please email your resume and a cover letter, detailing your interest and qualifications for this position to info@newcastlefa.com

 

Financial Service Admin (Posted 7/26/19)

We are a boutique wealth advisory firm in Newport Beach looking for an sales / admin assistant to the owner of the firm. Probitas Financial is a growing, thriving firm that provides five-star personalized fee-based services to its client family.

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Summary of responsibilities

Looking for a sharp team member who takes initiative and is a problem solver. The position is ideal for an admin professional looking for a flexible schedule of approximately 15- 20 hours per week near John Wayne airport in a highly desirable office building. The owner may consider full time with appropriately qualified candidate. Salary will reflect experience and qualifications.

  • Confirm and set client appointments.
  • Follow-up with existing clients on the phone and become familiar with their account details and concerns.
  • Prepare client financial planning folders and assist with gathering the information needed to open new client accounts.
  • Be initial point of contact for client calls and know what client requests shall be handled or passed off to the advisor.
  • Take responsibility and authority to run the back office to ensure proper systems and procedures are in place.
  • Function as an important “partner” in the management of the practice, agreeing to the overall vision of superior client service.

Key Competencies:

The ideal candidate will be of a self-starter mindset and capable of handling a multitude of tasks simultaneously while feeling comfortable talking to our high net worth clients.  Our IT is Mac based. The candidate will also:

  • Have a superior client service mindset
  • Be mac savvy / Proficient using MS Office and Apple equivalents
  • Have knowledge of spreadsheet and mail merge
  • Have experience in using CRM databases, including Redtail
  • Be a “Quick study” on new concepts
  • Have excellent verbal and written communication skills
  • Have knowledge of customer service principles and practices
  • FINRA Series 6, 7 and/or 63 licenses a plus

Gary Vyneman
President / Owner

Phone (949) 528-6060

gary@probitasfinancial.com | probitasfinancial.com