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193 jobs found

RIA Registered Investment Advisor fiduciary Standard

Zentech Consulting Tampa, FL

18d ago

$150k+/yr Full time Advisor Client Relations Client Service

Advisor Client Relations Client Service

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Job Description

Zentech Consulting seeks an experienced Investment Advisor to provide comprehensive financial guidance for individuals nearing retirement or already retired, operating under the Registered Investment Advisor fiduciary standard. This onsite role in Tampa, Florida prioritizes client interests, emphasizes income‑focused planning, and applies disciplined investment strategies tailored for retirees.

Responsibilities

Deliver fiduciary guidance aligned with prevailing RIA standards, ensuring every recommendation serves the client's best interests.
Create holistic retirement‑oriented financial plans, covering income strategies, asset allocation, and risk management.
Perform thorough reviews of client finances, including assets, liabilities, tax matters, estate structures, and retirement income needs.
Advise on retirement focused approaches such as income investing, withdrawal planning, Social Security optimization, and tax‑efficient distributions.
Design and oversee diversified portfolios aimed at long term wealth preservation and income generation.
Track portfolio performance and adjust allocations proactively in response to market shifts and client goals.
Conduct ongoing research on market trends, economic conditions, and regulatory developments that may influence investment strategies.
Implement strategies that prioritize risk management, capital preservation, and sustainable income streams for retirees.
Collaborate with clients and external professionals such as CPAs, estate attorneys, and tax advisors to ensure integrated planning.
Advise on estate planning considerations including wills, trusts, beneficiary planning, and wealth transfer strategies.
Provide guidance on tax‑efficient investing, required minimum distributions (RMDs), and retirement account planning.
Build lasting client relationships through regular financial reviews and proactive communication.
Educate clients on topics such as portfolio diversification, retirement income planning, tax considerations, and risk management.
Maintain meticulous records of client interactions, investment decisions, and compliance documentation in accordance with RIA requirements.

Requirements

Demonstrated experience in investment advisory, wealth management, or financial planning, ideally within an RIA or fiduciary setting.
Strong understanding of retirement income planning, asset allocation strategies, and fiduciary investment practices.
Practical knowledge of securities regulations, tax planning concepts, estate planning strategies, and retirement planning frameworks.
Proficiency with financial planning and portfolio management software.
Strong analytical and quantitative abilities with the capacity to interpret complex financial data.
Exceptional client relationship and communication skills with a consultative advisory approach.

Benefits

Health coverage
Opportunity to join a growing fiduciary wealth management team
A collaborative, client‑focused work environment

Position Overview

Zentech Consulting seeks a seasoned, client‑centric Investment Advisor to deliver thorough financial guidance to individuals approaching retirement or already retired. This role adheres to the Registered Investment Advisor fiduciary standard, placing client interests first while delivering disciplined investment strategies. The advisor will partner with clients to develop and manage long‑term plans that emphasize income stability, capital preservation, tax efficiency, and sustainable withdrawal strategies. The ideal candidate understands retirees' unique financial challenges, including longevity risk, healthcare costs, estate planning, and market volatility, and communicates with clarity and integrity. This onsite position is based in Tampa, FL and requires strong financial expertise, excellent client relationships, and a firm commitment to fiduciary responsibility and transparent, personalized advice.

Pay

Annual base salary: USD 150,000.

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Sr. Specialist, Service Associate - Schwab Wealth Advisory

Charles Schwab Phoenix, AZ Hybrid

18d ago

$26 - $38/hr Full time Advisor Advisory Associate

Advisor Advisory Associate

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Job Description

The Sr. Specialist, Service Associate role within Charles Schwab's Centralized Service & Operations group is a hybrid position based in Phoenix, AZ. You will support Schwab Wealth Advisory clients via an inbound client-facing phone channel, provide technical assistance, place solicited trades, and develop wealth-management knowledge to serve as a client-facing subject matter expert. The hourly pay range is USD 2,688 to 3,851, and the role requires an undergraduate degree along with active FINRA licenses and direct client-facing financial services experience.

What we offer

401(k) with company match and Employee Stock Purchase Plan
Paid time off for vacation, volunteering, and a 28-day sabbatical after every 5 years of service for eligible positions
Paid parental leave and family building benefits
Tuition reimbursement
Health, dental, and vision insurance

Role overview

In this role you deliver service on a client-facing inbound phone team, build a foundation in wealth management through mentorship and ongoing training, and serve as a client-facing subject matter expert. You will provide technical assistance and place solicited trades, while strengthening client relationships by addressing questions on portfolio management, financial planning, and market topics. You will also contribute to the Schwab Wealth Advisory Investment strategy.

Responsibilities

Deliver extraordinary and consistent service on a client-facing, inbound phone team
Develop a strong foundation in wealth management through mentorship, coaching, and ongoing training to act as a client-facing subject matter expert
Provide technical assistance and place solicited trades
Strengthen client relationships by providing resolutions on questions regarding portfolio management, financial planning, and financial markets and the economy
Contribute to the Schwab Wealth Advisory Investment strategy

Required qualifications

Undergraduate degree required
Active and valid FINRA Series 7 license required
Active and valid FINRA 66 license required (may be obtained with a 120-day COE)
Minimum 2 years of experience in the financial services industry working directly with clients

Preferred qualifications

Experience servicing high-net-worth clients
General understanding of brokerage regulations and rules that govern client accounts
Demonstrated experience handling client concerns and issues with tact and diplomacy
Excellent written and oral communication skills, attention to detail
Ability to work independently and effectively as part of a team, while handling multiple tasks and responsibilities simultaneously
Ability to build and maintain strong cross-departmental working relationships

What’s in it for you

401(k) with company match and Employee Stock Purchase Plan
Paid time off for vacation, volunteering, and a 28-day sabbatical after every 5 years of service for eligible positions
Paid parental leave and family building benefits
Tuition reimbursement
Health, dental, and vision insurance

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Financial Advisor

RedBalloon LLC Moscow, ID Hybrid

18d ago

$50k - $200k/yr Full time Advisor Budgeting Cash Flow

Advisor Budgeting Cash Flow

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Job Description

RedBalloon LLC invites applications for a fiduciary, fee-only Financial Advisor in Moscow, ID with hybrid work options. The role involves taking over a small client book with supported prospecting; CFP certification is preferred, relocation assistance is available, and remote work is negotiable; there is potential for rapid advancement to lead or senior advisor.

Responsibilities

Assist Advisors in understanding and supporting their clients’ financial goals
Develop and implement customized financial plans covering retirement, estate planning, tax strategies, investment approaches, and budgeting
Prepare investment reviews and personalized meeting materials for advisors and their clients
Use planning software such as MoneyGuidePro, Nitrogen, Morningstar Advisor Workstation, Holistiplan, and other tools to create and maintain financial scenarios and reports
Keep financial plans current and responsive to client needs
Research, teach, and analyze financial planning topics as needed
Help design, implement, and maintain model portfolios across all client accounts
Assign appropriate investment models to client portfolios and document changes with detailed notes
Monitor client portfolios regularly and alert Lead Advisors to deviations from targets or notable performance issues
Assist with non-qualified account management for tax loss/gain harvesting
Support rebalancing activities, including data entry, documentation, and communication with operations staff
Coordinate with custodians or trading platforms to ensure accuracy in portfolio implementation
Maintain awareness of market trends and their potential impact on model portfolios
Support investment committee work by gathering data, running reports, and participating as requested
Enter and track tasks in Redtail CRM; maintain accurate and timely follow-ups
Complete Smart RIA compliance tasks within 30 days of assignment
Assign and manage workflows and service tasks related to compliance and client service
Report any written client complaints promptly and appropriately
Actively participate in team meetings, maintaining professionalism, punctuality, and preparedness
Delegate tasks to support staff as needed and follow through on assigned responsibilities
Maintain conduct that reflects the firm’s core values, including courage, curiosity, truth, and wisdom
Align with the firm’s guiding belief that True Wealth is found in Christ alone
Ensure timely completion of investment reviews and service tasks
Maintain accuracy and preparedness of meeting deliverables
Contribute to firm growth and client retention over time

Requirements

2-3 years of financial advising experience
CFP certification
Series 65 license or ability to obtain within 3 months
Highly organized with strong attention to detail
Ability to work independently
Excellent communication skills with a teaching-oriented approach

Technologies

MoneyGuidePro
Nitrogen
Morningstar Advisor Workstation
Holistiplan
Redtail CRM
LPL Financial

Benefits

Relocation assistance available for the right candidate
Training, continuing education units (CEU), and registration fees covered
401(k) with employer matching at six months
Paid time off: two weeks vacation, plus office closures when the market is closed
Remote or hybrid work environment with a flexible schedule; remote work possible as long as five business days per month are worked on site in Moscow, Idaho
Marketing and lead generation provided to grow your book of business
Mentorship by a senior advisor
Administrative assistance with client accounts

About Us

We were founded in 2021 by Neal Richards due to the rapid growth of his practice at a small independent RIA firm
We are a small and nimble team with four employees, providing planning services (utilizing MoneyGuide Pro and Nitrogen) and asset management through LPL Financial
Our core values are Curiosity, Courage, Truthfulness, and the principle that Wealth is found in Wisdom
As a regional Dave Ramsey SmartVestor associated professional, we offer a reliable investment strategy and compatible financial planning grounded in biblical principles
Axiom is a rapidly growing, federally regulated RIA, with expectations of continued growth and a need for flexibility in adopting new technologies and services; this expansion presents opportunities for the right candidate

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Commercial Insurance Product Manager (Small Commercial Lines)

Colonial Surety Company Woodcliff Lake, NJ

18d ago

Full time Manager Marketing Bundled Coverage

Manager Marketing Bundled Coverage

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Job Description

Colonial Surety Company is seeking an experienced Commercial Insurance Product Manager to lead the development and expansion of its small commercial portfolio from an onsite role in Woodcliff Lake, New Jersey. The position requires underwriting discipline paired with a producer mindset to design, bundle, and position coverages such as GL, PL, and BOP to fuel growth while aligning product strategy with market needs.

Responsibilities

Lead the design, development, and ongoing enhancement of small commercial products across a range including GL, PL, BOP, Fiduciary Liability, Cyber Liability, Employment Practices Liability Insurance (EPLI), Directors and Officers (D&O) / Management Liability, Commercial Crime, Commercial Surety Bonds, and ERISA Fidelity Bonds.
Develop bundled and packaged solutions that combine multiple coverages, including bonds where appropriate, to create differentiated offerings for target segments.
Identify underserved market segments and craft tailored solutions to drive growth.
Build scalable, repeatable coverage constructs.
Support product launches with clear appetite statements, positioning, and underwriting guidelines.
Partner with agents, brokers, and program administrators to drive adoption.
Bring a producer mindset balancing risk selection with growth, retention, and distribution success.
Monitor product performance, including premium growth, loss ratios, and mix of business.
Identify trends and recommend adjustments to improve profitability and competitiveness.
Continuously refine product offerings based on market feedback and performance data.
Collaborate closely with senior leadership.
Serve as a bridge between technical product development and market-facing teams.
Engage directly with brokers, partners, and occasionally policyholders to inform product direction as necessary.
Support and advise in-house producers in marketing bundled packages to the existing customer base.

Requirements

5+ years of small commercial underwriting experience at a carrier or MGA.
Direct experience in product design and development for small commercial insurance.
Strong expertise in one or more of the following: PL, GL, BOP, FL, Cyber, EPLI, CC, D&O; familiarity with other commercial insurance products.
Deep understanding of insurance forms, endorsements, and coverage construction.
Proven ability to translate underwriting insight into marketable, scalable products.
Experience working in cross-functional environments to bring products to market.
Excellent computer skills, including proficiency in Microsoft Office and Google Workspace.

Technologies

Microsoft Office
Google Workspace

Benefits

401(k)
Dental insurance
Health insurance
Paid time off
Vision insurance

Preferred Qualifications

Experience building or contributing to bundled/package insurance solutions
Familiarity with incorporating bonds into product offerings from a product/distribution perspective
Demonstrated proactive and entrepreneurial mindset with a bias toward execution
Strong communication skills with the ability to work with agents, brokers, and policyholders
Experience in a growth-oriented or transforming organization

Key Competencies

Producer Mindset: Thinks like a producer, understanding how products sell
Product Innovation: Ability to design compelling, differentiated bundled offerings
Technical Expertise: Strong command of coverage, forms, and underwriting fundamentals
Commercial Acumen: Balances growth, profitability, and market competitiveness
Collaboration: Works effectively across teams and functions
Execution Oriented: Moves from concept to market quickly and efficiently

Why This Role

This position offers a foundational role in the next phase of growth for a stable, established carrier evolving its commercial insurance platform. You will have the opportunity to shape product strategy, build innovative bundled solutions, and directly influence Colonial Surety Company’s expansion in the small commercial market.

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Vice President, Venture Lending and Banking

Stifel New York, NY

19d ago

$150k - $200k/yr Full time Advisor Banking Business Development

Advisor Banking Business Development

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Job Description

The VP or SVP will build and support a regional portfolio of technology companies, lead debt processes, and deliver a curated banking experience through Stifel's platform.

Responsibilities

Build and support a regional client portfolio of technology companies as a Vice President or Senior Vice President within Stifel's Venture Banking Team.
Leverage the resources of Stifel's banking and broader corporate platform to lead debt processes and provide a curated banking experience for entrepreneurs and their businesses.
Engage with senior leaders inside and outside the organization to understand technology and capital trends and how they impact the companies we support.
Bring venture-backed technology experience, a strong relationship network, and serve as a trusted advisor to technology companies and their investors.

What you'll be doing

Maintain a portfolio of technology company clients, including ongoing portfolio management and deploying Stifel resources to support those clients.
Drive deal processes, including loan underwriting, loan documentation, and the loan closing process.
Maintain in-depth knowledge of the venture capital ecosystem and Stifel’s products and services.
Identify and pursue opportunities to strengthen relationships with venture capitalists, founders, executives, and industry advisors.
Attend and, when appropriate, curate industry events to represent Stifel and expand the organization’s network connectivity.

What we're looking for

Maintain a portfolio of technology company clients, including ongoing portfolio management and effectively deploying Stifel platform resources to support clients.
Ability to drive deal processes, including loan underwriting, loan documentation, and loan closing.
Deep knowledge of the venture capital ecosystem and firm products and services.
Recognizes and pursues opportunities to strengthen relationships with key stakeholders within the innovation ecosystem, including venture capitalists, founders, executives, and industry advisors.
Attends and curates industry events to represent Stifel and expand network connectivity when appropriate.

What you'll bring

Advanced knowledge in venture lending, underwriting, and portfolio management.
Knowledge of economic and accounting principles and practices, the financial markets, venture banking, and the analysis and reporting of financial data.
Interest in technology trends, key metrics, and capital markets affecting the innovation ecosystem.
Use logic and reasoning to identify the strengths and weaknesses of alternative solutions and approaches to problems.
Excellent communication and interpersonal skills; able to build strong relationships with clients and internal teams.
Proactive, detail-oriented, and able to thrive in a fast-paced environment with multiple priorities.
Strong team leadership skills to coach, develop, and retain team members.

Education & Experience

Bachelor's degree in finance, accounting or equivalent experience.
3+ years of related work experience in venture banking, commercial banking, investment banking, or private capital investing.

Licenses & Credentials

Minimum Required: None

Systems & Technology

Proficient in Microsoft Word, Microsoft Excel, Microsoft PowerPoint, Microsoft Outlook

Benefits

Discretionary bonuses
Health, dental, vision, and prescription insurance
Stifel Total Health Connect
Flexible spending accounts
Tuition and certification assistance programs
Paid time off
401k
Wellness initiatives
Life insurance

Why Stifel

Stifel emphasizes a client- and associate-first culture where everyone belongs, is welcome, and contributes to the success of clients, their careers, and the firm as a whole.

Explore where your place is at Stifel, where professional success can align with client outcomes.

What you’ll be doing

The Venture Banking Team at Stifel expects the VP/SVP to actively build and support a regional technology-focused client base, leverage the firm’s banking and corporate resources to manage debt processes, and deliver a tailored banking experience to entrepreneurs and their companies. Success depends on engaging senior leaders to understand technology and capital trends and translating those insights into value for clients and their investors.

Systems & Technology (additional)

Microsoft Word, Excel, PowerPoint, and Outlook proficiency is required.

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Vice President, Debt Capital Markets

Buckingham Companies Indianapolis, IN

19d ago

Full time Banking Capital Cash Flow

Banking Capital Cash Flow

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Job Description

Buckingham Companies, based in Indianapolis, Indiana, seeks a Vice President of Debt Capital Markets to lead the sourcing, structuring, and management of debt capital in support of acquisitions, development, and refinancing. The role emphasizes building and managing lender relationships, guiding portfolio-level debt strategy and execution, and advising executive leadership and the Investment Committee. This onsite position demands a deep understanding of real estate debt markets and a track record of closing complex financing transactions.

Responsibilities

Oversee portfolio‑level leverage strategy and ensure alignment with corporate investment objectives
Strategically manage allocations to fixed and variable interest rate commitments, debt maturities ladder, and cost of borrowing, including collaboration with and reporting to the CEO and Investment Committee
Optimize overall cost of capital while maintaining prudent risk management standards
Monitor and report portfolio exposure to interest rate risk, recourse obligations, and covenant compliance
Act as a trusted advisor by delivering strategic market insights and customized financing solutions
Proactively manage upcoming debt maturities, renewals, extensions, loan covenants, and related items
Lead monthly capital markets meetings to review pipeline financing, transaction status, issues, and upcoming maturities
Maintain ongoing market intelligence on spreads, lender appetite, construction lending trends, and refinancing conditions; provide periodic market updates to leadership
Lead sourcing, structuring, and negotiation of acquisition, development, bridge, and permanent financing across a diverse lender base
Develop and manage multiple lender relationships, continually monitoring debt markets and terms
Lead the capital solicitation process, including lender outreach, term sheet negotiation, and preparation of financing recommendations
Negotiate term sheets, loan documents, covenants, guarantees, reserves, and closing deliverables in partnership with internal legal counsel
Evaluate and recommend corporate‑level credit facilities, warehouse lines, or structured financing alternatives as appropriate
Prepare and present financing recommendations to executive leadership and the Investment Committee
Lead internal and external presentations and transaction marketing efforts
Lead cross‑functional teams across Investments, Development, and Asset Management to execute financing strategies
Develop and improve internal financing processes, templates, and reporting tools to ensure consistency, transparency, and scalability, including the company’s debt management software
Oversee lender compliance reporting requirements, including quarterly/annual financial reporting, covenant forecasting and testing, and lender communications
Create and manage internal and external reporting as required
Other duties as assigned by supervisor

Requirements

Bachelor’s degree in finance, real estate, or a related field required
MBA preferred
7+ years of progressive experience in real estate capital markets, structured finance, investment management, or related roles, with multifamily experience preferred
Deep expertise in real estate debt markets and loan structuring
Demonstrated experience leading and closing complex acquisition, development, and refinancing transactions
Experience with agency lending, construction lending, bridge financing, and structured capital solutions preferred
Strong negotiation skills and ability to manage complex, multi‑party transactions
Executive presence with the ability to communicate effectively at the Investment Committee level
Advanced financial modeling and underwriting skills
Strong lender network across banks, agencies, life companies, debt funds, and CMBS lenders
Strategic thinker with strong judgment and transaction execution skills
Collaborative leadership style with strong cross‑functional influence
High integrity, accountability, and ability to thrive in a fast‑paced environment
Strong analytical skills
Ability to multitask, prioritize, and meet changing deadlines
High degree of accountability and ownership
Big picture and strategic thinking skills
High degree of professionalism
Results oriented and solution focused
Excellent judgment and decision‑making skills
Ability to communicate transparently and share information effectively across all departments
Ability to multi‑task, prioritize, and meet changing deadlines

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Associate Advisor

Burton Enright Welch Walnut Creek, CA

19d ago

$85k - $110k/yr Full time Advisor Associate Client Relations

Advisor Associate Client Relations

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Job Description

The Associate Advisor role at Burton Enright Welch is an onsite position in Walnut Creek, California, with a salary range of USD 85,000 to 110,000 per year. The role supports financial planning and investment management for BEW clients, with a potential path to advancement to Advisor, and requires a bachelor’s degree plus at least two years in the financial services industry.

Responsibilities

Assist Advisors and Lead Advisors in handling daily client needs.
Ensure client communications are clear, timely, responsive, and courteous.
Leverage firm resources to deliver high-quality client deliverables.
Help prepare for client meetings, capture notes, and send follow-up emails.
Develop and update financial plans to monitor progress toward client goals.
Evaluate financial planning strategies, including tax planning, retirement spending, and equity compensation, and partner with Advisors to formulate recommendations.
Maintain accurate client records, manage workflows, and track outstanding tasks in the CRM.
Coordinate team tasks and oversee project execution to support operational efficiency.
Collaborate with the Client Services Team on service requests and onboarding to ensure a seamless client experience.
Engage in project and committee work, including Investment Committee and Financial Planning initiatives.
Uphold client experience standards and compliance requirements.

Requirements

Bachelor’s degree required.
2 to 4 years of experience in the financial services industry.
Demonstrated progress toward the CFP designation preferred.
CPA and CFA designations welcome.
Experience with financial planning software, such as eMoney, is a plus.
Detail-oriented with strong organizational skills.
Consistently completes work accurately and on schedule.
Ability to prioritize multiple tasks and manage client relationships.
Self-motivated learner with a proactive approach.
Excellent verbal, written, and listening communication skills.
Strong interpersonal attributes including integrity, humility, respect, and empathy.
Solid grounding in financial planning concepts, markets, and investment topics.
Collaborative team player.
Proficient with Microsoft Office Suite.
Prior experience with a CRM system is a plus.

Technologies

eMoney
CRM system
Microsoft Office Suite

Benefits

Salary commensurate with experience
Quarterly incentive bonus program
Comprehensive benefits package including medical, dental, vision, life and disability insurance
Open Paid Time Off policy
Continuing education allowance
401(k) retirement plan with company contributions