Lead Investment Advisor

Advisory & Planning · Columbus, Indiana
Department Advisory & Planning
Employment Type Full-Time
Minimum Experience Experienced
Compensation $95,000+

Mission

The Lead Investment Advisor is an integral part of our advisor teams. This great communicator, influencer, and enthusiastic person will support the vision, positive culture, and team spirit of DCM. They will be responsible for most client relationships for their team.  They will guide and educate clients through the ups & downs of their lives.

 

The Lead Investment Advisor is a highly experienced team member, whose focus is the cultivation of existing client relationships. They will set and implement planning and investing strategies for the clients they serve and will train other advisors on their team to do the same. They will look for opportunities to grow managed assets with existing clients and generate referrals for new client relationships.

 

A Lead Investment Advisor will conduct meetings with clients, other advisors, and front-office staff members to lead their team’s clients and advisors through the decision-making processes of financial planning and investing. This includes discussing comprehensive financial planning strategies and the income, gift, and estate tax implications of those strategies.  They may seek support from senior advisors for the most complex cases and will often involve less experienced advisors on the team to help them develop more advanced planning skills. They are ultimately responsible for the strategies they recommend and help implement. They must be comfortable managing the coordination of the entire planning process with clients, other advisors, and the financial planning team.


Essential Responsibilities


Business Development

  • An entrepreneurial thinker who is energized by the opportunity to build DCM brand, DCM team, new relationships, and client base in the greater Indianapolis area.
  • This role will have the support and resources of the DCM offices, Senior Advisors, and Leadership for prospecting and client service.
  • Identify, nurture, and develop new relationships with the goal of converting them to newly managed clients.
  • Lead business development efforts and develop relationships with key influencers and other professionals or companies to generate more referral relationships.

Relationship Management

  • Increase managed assets and referrals by delivering on a client experience above & beyond expectations when interacting with existing clients.
  • Serve as the primary advisor for approximately half of the clients served by their team and supports the other advisors on the team as needed.
  • Engage, retain, and deepen relationships with most of the team’s clients.
  • Communicate with clients by understanding their needs, objectives, goals, concerns, and the tools available to them for financial planning implementation. Communicate and represent clients with their chosen outside professionals to coordinate strategies, implement plans, and carry out client service requests.

Supervisory & Mentoring

  • Train and develop the team’s other advisors on investing, financial planning, and relationship management activities to drive firm growth.

Advisory

  • Review and adjust financial plans and investment strategies for the clients they serve.
  • Analyze data or information to identify issues, determine the best strategies for clients, and make recommendations. Utilize the team to implement any needed changes or perform related actions. The advisor is accountable for any financial advice they offer clients.
  • Evaluate Information to determine compliance with standards by using relevant information, experience, and individual judgment to determine whether events or processes comply with laws, regulations, or standards.
  • Identify concerns, problems, or opportunities within client data and notifies their team to have them remedy or respond as needed.

Operational

  • Ensure phones and visitors are answered promptly and professionally.
  • Record activities, service requests, and opportunities to be updated in the CRM.

Compliance

  • Support an effective and robust investment advisory Culture of Compliance.


Requirements


Experience & Education

  • Bachelor’s Degree or higher
  • CFP® strongly preferred
  • An excellent regulatory record (U4)
  • Pursuit of Advanced designation/degree (CPA, CFA, ChFC, AIF, MBA) preferred
  • 6+ years of experience in advisory focus working directly with clients as a lead advisor
  • Strong Sales ability required
  • Demonstrated strong servant leadership experience required
  • Proficient in complex financial planning and development of complex client cases

Skills

  • Excellent communication skills (verbal, written, and listening)
  • Extensive knowledge of Investment Management
  • Extensive knowledge in financial planning analysis and modeling, specifically to HNW clients
  • Proficiency in Microsoft Office Suite required
  • Proficiency in Salesforce CRM preferred
  • Demonstrates strong personal values, self-awareness, and self-regulation
  • A demonstrated ability to deal with stress in an ever-changing investment market and financial services calmly and collectedly.
  • Excellent time management, strong organizational skills, and ability to prioritize multiple tasks and anticipate potential problems.
  • Ability & willingness to adapt to changing technology & integrate quickly
  • Highly developed emotional intelligence and professionalism with clients and colleagues.
  • Can handle confidential information with care daily


BENEFITS

Compensation

We have a robust compensation model with base salary and certification-designation-degree pay, as well as incentive pay that comes from the revenue pool program, and kicker pay


Retirement

401(k) pre- or post-tax at a 4% total compensation match, Annual Profit Sharing


PTO and Workplace Flexibility

Team members are not limited to a specific number of vacation, personal, or sick days, hybrid work flexibility, maternity, and parental time off


Health 

Medical, Vision, Dental, Supplemental, HSA, Dependent Care FSA, ST, and LT Disability, Life and AD&D


Professional Growth

Education Advancement, Tuition Loan Program, Career Coaching


Financial Health

Dave Ramsey SmartDollar, Financial Planning, No Fees for Investment Management


Equipment

Cell phone, laptop, remote accessories if needed


Other

Wholesale club membership, parking garage, annual charitable donation

Thank You

Your application was submitted successfully.

  • Location
    Columbus, Indiana
  • Department
    Advisory & Planning
  • Employment Type
    Full-Time
  • Minimum Experience
    Experienced
  • Compensation
    $95,000+