Investment Specialist responsible for processing investment transactions at Canada Life, ensuring accuracy and compliance with service level agreements. Engages with advisors for required information and utilizes internal systems effectively.
About the role
- Lead and grow a new wealth management division under a boutique RIA in Wilmington. Manage client relationships and deliver comprehensive wealth management services.
Responsibilities
- Lead the launch and growth of a new wealth management offering under an established independent RIA brand.
- Transition and manage your existing book of client relationships, with full autonomy over planning, advice, and portfolio construction.
- Deliver holistic wealth management, including financial planning, investment strategy, retirement planning, tax aware portfolio structuring, and estate planning coordination.
- Collaborate with the firm’s portfolio manager and research team to align client portfolios with a long term, value oriented investment philosophy where appropriate.
- Serve as the primary trusted advisor for high net worth and mass affluent households, focusing on long term relationships rather than product sales.
- Develop new business through referrals, centers of influence, and the firm’s relationships with affluent families and business owners in the Wilmington area.
- Meet with clients in person in the Wilmington region and maintain a consistent but flexible in office presence for collaboration with the founder and team.
- Ensure compliance with RIA regulations and firm policies, working closely with an experienced compliance function.
- Participate in firm level discussions on strategy and growth, with an eye toward future equity participation and potential succession into an existing book.
Requirements
- 4+ years of experience as a Financial Advisor, Wealth Advisor, Investment Advisor Representative, or similar client facing advisory role.
- Proven track record managing and retaining client relationships, with at least 35,000,000 in reasonably portable fee based AUM.
- Strong skills in financial planning, portfolio construction, and investment advice for high net worth or mass affluent clients.
- Appropriate licenses to act as an Investment Advisor Representative such as Series 65 or equivalent, with the ability to update state registrations upon joining.
- Client first, ethical approach with a desire to operate in a fee only, independent environment.
- Comfort working entrepreneurially to build and grow a practice while leveraging firm infrastructure and brand.
- Willingness to live in or relocate to the Wilmington, North Carolina area and maintain regular in person contact with clients and the firm.
Benefits
- Dental insurance
- Life insurance
- Paid time off
- Retirement plan
- Vision insurance
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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