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SWBC · 1 day ago

Investment Advisor

Austin, TX

Full-time

Onsite

Senior Level

7+ years exp

SWBC is seeking a talented individual to provide superior ongoing service for the retention of current clients and develop opportunities for new client relationships. The Investment Advisor will deliver ongoing investment advisory services focused exclusively on retirement plans for plan sponsors.

BankingFinanceFinancial ServicesInsurance

H1B Sponsor Likely

Responsibilities

Provides superior ongoing client service and retention of existing clients through execution of SWBC’s disciplined approach to consulting and fiduciary responsibility

Participates in quarterly internal Investment Committee meetings

Maintains and responds to all ongoing compliance requirements

Participates in on-going peer review meetings and assignments

Coordinates, schedules, and prepares materials for all meetings (virtual or in-person) with each client and their respective recordkeeping contact

Maintains regular communication with each of your plan sponsor clients and their respective recordkeeping contact(s)

Regardless of whether a formal meeting is held, review and provide the quarterly monitoring report to each of your clients every quarter

Utilizing proprietary research tools developed by SWBC, develop, and advise clients on investment options that are available under their retirement plan(s)

As requested, coordinate, schedule, prepare materials, and present committee education and training, in addition to participant education and participant one-on-one meetings

Each calendar year, provide each of your clients with an Annual Due Diligence packet

As needed, conduct record keeper benchmarking fee analysis for your clients

As needed, conduct Invitation to Compete (alternative recordkeeping RFP) for your client or prospect clients

Generate sales of advisory services for retirement plans directly to employers through product knowledge, networking, referrals, and/or attending national conferences to promote SWBC services which include, but is not limited to, fee benchmarking, investment reviews, fiduciary oversight, and vendor searches

Develops relationships with centers of influence to develop additional referrals for new prospects

Develops targeted markets, follow up with prospects, and report to senior management on a regular basis with business development progress

Develops and implements referral campaigns with your existing clients

Consults with potential clients on the Advisory Services Agreement and Investment Policy Statement to ensure their thorough understanding of the fiduciary process and risk management services SWBC provides

Assists in the completion of prospective client RFPs and assist in the sales progress to onboard new clients

Researches new speaking and conference options to continue facilitating generation of new prospects

Represents SWBC at financial and investment conferences to generate consultations, quotes, or follow-up opportunities, attend institutional level investment committee meetings, and report sales activities and results to management

Ensures all required compliance agreements, files, reports, new client documentation, and the like are completed and maintained in accordance with SWBC, SEC, Federal, and state regulations

Qualification

Retirement investment acumenFiduciary principles knowledgeSales strategy formulationSeries 65 licenseMicrosoft Office proficiencyCommunication skillsInterpersonal skillsOrganizational skillsSelf-starter

Required

Bachelor's Degree, preferably in Business, Finance, or related field. If degree is not in a related field, retirement plan industry experience is critical

More than seven (7) years' experience developing new business, delivering retirement investment advisory and fiduciary support, or related experience, preferably in working with retirement plans (401(k), 403(b), 457, defined benefit, etc.)

Ability to build, grow, and sustain a book of retirement plan clients

Strong retirement investment acumen and demonstrated knowledge of retirement plan (401(k), 403(b), 457, defined benefit, etc.) structures and terminology

Strong understanding of fiduciary principles under ERISA Sections 3(21) and 3(38)

Strong understanding of sales strategy formulation and reporting

Strong working knowledge of Financial Industry Regulatory Authority (FINRA) requirements

Excellent communication (verbal and written), presentation, organization and interpersonal skills

Possess a solid working knowledge all Microsoft Office applications

Self-starter, highly motivated, and be able to work independently while exercising sound judgment

Possess a Series 65 license

Able to stand and/or sit for long periods of time while performing sales, consultations, report generation, and the like

Able to stoop, kneel, and lift 10-20 lbs. of files, presentation equipment, or other office items

Able to travel locally, state-wide, and nationally

Benefits

Competitive overall compensation package

Work/Life balance

Employee engagement activities and recognition awards

Years of Service awards

Career enhancement and growth opportunities

Leadership Academy and Mentor Program

Continuing education and career certifications

Variety of healthcare coverage options

Traditional and Roth 401(k) retirement plans

Lucrative Wellness Program

Company

SWBC

Glassdoor3.3

SWBC is a provider of insurance, mortgage, and investment services to financial institutions, businesses, and individuals.

Founded in 1976

San Antonio, Texas, USA

1001-5000 employees

https://www.swbc.com

H1B Sponsorship

SWBC has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Represents job field similar to this job

Trends of Total Sponsorships

2025 (22)

2024 (16)

2023 (9)

2022 (22)

2021 (14)

2020 (11)