Sample financial advisor job description

At [Company X], we’re committed to securing every person’s immediate and long-term financial goals. We’re searching for a qualified financial advisor to join us in providing a balanced combination of professional investment management and personalized financial planning. The ideal candidate shares our commitment to carefully guided decision-making for portfolio management, estate planning, tax minimization, risk management, budgeting, generational wealth education, charitable giving, socially responsible investing, asset purchases, and sales. As a member of our advisory team, the financial advisor will work with like-minded professionals and continually focus on sharpening the skills and knowledge that put us at the top of our industry.

Objectives of this role

  • Be an integral member of the advisory team and provide financial planning and investment advice to clients ranging in age and wealth
  • Take primary responsibility for all aspects of a client relationship, working closely to fully understand the financial situation and requirements
  • Monitor market performance to develop and deliver sound investment advice and strategies
  • Execute accurate reporting that enables sound analysis and financial recommendations
  • Comply with national and local financial regulations by studying existing and proposed legislation
  • Continue professional development with classes, workshops, webinars, publications, networks, and associations in order to remain up to date with the fundamentals of financial planning, risk management, and investment management

Responsibilities

  • Utilize the firm’s client-centered wealth management philosophy to guide advisory services for individual clients  
  • Meet with clients to form a financial plan, including expenses, income, insurance coverage, objectives, tax status, and risk tolerance
  • Analyze market performance, investments, and client data to develop strategies for meeting financial goals
  • Collaborate with other tax, legal, and insurance professionals to develop a client’s entire financial roadmap and ensure progress in achieving goals
  • Review client accounts regularly to determine if adjustments are needed because of personal or financial changes
  • Interpret data and prepare income projections, financial summaries, and investment performance reports, and update client portfolios accordingly

Required skills and qualifications

  • Current certificate of qualifications, which may include FCA, CII, DipFA, CISI, and FINRA Series 7 or Series 63 licensure
  • One or two years of professional experience in finance or accounting
  • Knowledge of the securities, insurance, and mutual fund industries
  • Personal integrity and an ability to maintain the confidentiality of company and client information

Preferred skills and qualifications

  • Bachelor’s degree (or equivalent) in finance or related field
  • FINRA Series 65 or Series 66 licensure
  • Experience with financial planning software