Junior Financial Advisor Job Opening and Description- Dallas, TX
To learn more about this job posting please email resume to: chad@authenticcounsel.com
Small boutique Registered Investment Advisor [RIA] firm looking for a self-motivated individual to fill the
role of junior financial advisor. Past experience in the financial services industry is preferred but not
required. CFP® certification is not required but is a huge plus for candidate to possess. Investment
advisor licenses such as Series 7 and 65 are not a pre-requisite for the job but the RIA firm may ask
candidate to sit for these licenses at some point. The following traits will be important:
*Interpersonal & Relationship Skills
*Strong ability in Sales and Marketing
*Work ethic, self-starter, desire to learn, integrity, trustworthy, good time management
*Good grasp of the basic principles of financial markets [asset allocation, financial planning]
*Technology skills- familiarity with social media and websites a plus
*Desire to build your own client base and create a career as a financial advisor
The advisor will work directly with the owner of the firm’s financial assistant/office manager in their
Dallas, Texas office. The office is located in Uptown Dallas. The owner of the firm, a CFP® practitioner
with 16 years industry experience will provide some mentoring and training assistance on a periodic
basis. At a high level, the candidate will have a 2 fold job description:
1) Provide service to the firm’s existing clients- this includes client review meetings to go over the
asset allocation of portfolios, sales and service calls, client correspondence, creating financial
reviews that cover such topics as life insurance, asset allocation, retirement and education
analysis. Candidate will be working with firm’s social media, website and financial software.
Also, candidate will work to cross-sale existing clients for other financial needs and for referrals
to become new clients. Some client meetings will be held jointly with owner of the firm and
candidate initially. Over time, the goal is for candidate to be comfortable holding some clients
meetings independently. This category of the job is designed to provide hands on ‘in the field’
training for the candidate that will be foundational to their long term success in the financial
services industry.
2) Build personal client base- In addition to servicing the firm’s existing clients, the candidate will
spend a good portion of his or her time each week prospecting for new clients to build their own
book of business. Owner will provide some mentoring on best techniques for this. Candidate
should possess a strong interest in building their own client base long term.
Junior Financial Advisor Position- Dallas, TX based Registered Investment Advisor
Compensation:
Candidate will receive the following forms of compensation:
1) A base salary for the first 9-18 months-Base salary will phase out over time on a
predetermined, graduated schedule. Base salary is designed to help a candidate who does not
have a current book of business get started. Terms are negotiable based upon the candidate’s
experience, education level and individual circumstances.
2) Potential for Profit Sharing Bonus- advisor will have the opportunity to potentially receive
compensation based on the revenue generated from the firm’s clients whom they help service.
This may be calculated as a percentage of revenue or a flat dollar amount. All profit sharing
bonus arrangements will be disclosed in writing and are purely at the owner’s discretion based
upon performance reviews with the candidate on a periodic basis. Candidate is not eligible for
profit sharing while on salary. Industry licensing requirements apply.
3) Candidate’s personal book of business- advisor will receive a 50-75% payout [payout scale
based on revenue] of his or her revenue generated from their own personal client base. The firm
will provide all compliance, regulatory and supervisory functions to the advisor for their
business in a turnkey business model.
Other Features: A job review will be done after 90 days and 180 days to confirm that job position is a
right fit for the candidate’s goals and career objectives and in the best interest of the firm.
Other Benefits: At this time, there is no corporate 401k retirement plan in place.
To learn more about this job posting please email resume to: chad@authenticcounsel.com