Vanguard, one of the world’s largest investment management companies and a recognized employer of choice, seeks a Financial Advisor to develop and maintain an ongoing partnership with a range of clients through regular, meaningful contact as part of the Personal Advisor Services offer. As a Financial Advisor, you will be working closely with clients to develop a customized goals-based financial plan based on their unique financial situation-then manage their portfolio to help reach their financial goals.
Primary duties and responsibilities:
- Develop a thorough understanding of each client’s financial situation in order to create and deliver a suitable strategy based upon Vanguard’s investment philosophy. Provide investment strategies to achieve client goals. Identify the appropriate risk tolerance, discuss appropriate savings or spending strategies and provide additional financial planning solutions as needed. Partner with Senior Advisors on more complex accounts. Provide both verbal and written plans to communicate the recommended strategies following department guidelines.
- Manage client portfolios on an ongoing basis and continue to build and retain your assigned client base. Serve as clients investing coach, conducting periodic review of portfolios and providing appropriate reports addressing clients’ ongoing advisory needs.
- Provide one-time advice to clients as appropriate for the client situation.
- Demonstrate a mastery of Client Relationship Management (CRM) skills along with written and verbal communication skills to build and strengthen client relationships.
- Initiate and implement the agreed upon investment strategy; comply with Vanguard methodology and investment guideline; document and maintain organized client files which meet department compliance standards.
- Address each client’s ongoing advisory and wealth management opportunities and provide semi-annual formal reviews of each client’s financial situation. Provide ad-hoc client support as needed through verbal and written communication.
- Promote professional development by maintaining an in-depth understanding of financial planning, capital markets and the financial services industry. Stay abreast of significant changes or developments (e.g. taxation, regulatory, legal, competitive, technical) within the fields of investments and financial services.
- Maintain all required licenses and designations.
- Maintain an in-depth understanding of compliance, regulatory and departmental policies and procedures. This includes obtaining a thorough knowledge of the regulatory requirements for Vanguard’s anti-money laundering policies and procedures. Participates in special projects and performs other duties as assigned.
The Ideal Candidate Should Possess:
- Undergraduate degree or equivalent combination of training and experience.
- Certified Financial Planner designation required.
- FINRA Series 7, 65 and 63 licenses (or ability to obtain within 120 days of assuming position).
- Minimum of three years related financial planning and client relationship management experience.
- Exceptional client relationship management skills – both internal and external client facing.
- Excellent writing and verbal communication skills.
- Positive attitude with the ability to effectively manage change and adapt in a continual and rapidly changing environment.
- Ability to work independently and as a team member, balances multiple responsibilities simultaneously, and demonstrates exceptional time-management skills.
Note: Vanguard is not offering visa sponsorship for this position. Additionally, employment is contingent on a successful drug-screening result.
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RFP Specialist, CFP®
Megan is part of Vanguard’s Institutional Sales Group. She ensures that each and every information request is processed before being returned to a prospective client.
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