Financial Advisor - 401k Plans and Individual Clients
Financial Advisor - 401k Plans and Individual Clients
Posted on :
11-04-2025
Employer Active
1 Vacancy
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Yearly Salary
USD 70000 - 79999
Vacancy
1 Vacancy
Posted on :
11-04-2025
Job Description
Keating and Associates Inc.
Financial Advisor Keating
Job Summary
We are seeking a highly motivated and qualified individual to join our team as a salaried Financial Advisor. This role involves servicing a book of current individual investment clients and a book of retirement plans as an advisor of record. You will be responsible for maintaining participant and plan sponsor relationships facilitating employee enrollments providing investment advice conducting executive reviews and bringing in new business through rollovers. This role requires a deep understanding of retirement plans IRS & SEC regulations and the ability to build strong servicefocused relationships with clients.
This position is exempt will be located onsite in either our Manhattan KS or Overland Park KS office and reports to the TPA Department Manager. The salary for this position is $.
Responsibilities include and are not limited to:
Desired qualifications and skills include:
Financial Advisor Keating
Job Summary
We are seeking a highly motivated and qualified individual to join our team as a salaried Financial Advisor. This role involves servicing a book of current individual investment clients and a book of retirement plans as an advisor of record. You will be responsible for maintaining participant and plan sponsor relationships facilitating employee enrollments providing investment advice conducting executive reviews and bringing in new business through rollovers. This role requires a deep understanding of retirement plans IRS & SEC regulations and the ability to build strong servicefocused relationships with clients.
This position is exempt will be located onsite in either our Manhattan KS or Overland Park KS office and reports to the TPA Department Manager. The salary for this position is $.
Responsibilities include and are not limited to:
- Manage and service existing 401k plans and participant retirement accounts as financial advisor by addressing client inquiries conducting regular reviews and ensuring ongoing compliance and satisfaction.
- Meet with a provided list of clients annually to review their current financial situation and investments accounts. This would entail reviewing overall information with clients and identifying recommendations for those individuals within the Keating Central book of business.
- Prepare present and execute financial planning when appropriate with individual investment management clients.
- Provide life insurance recommendations applicable for individual clients.
- Follow through on actionable items for all clients following review meetings phone calls and emails from clients maintaining organized files and compliant meeting notes related to clients in our CRM system.
- Client meeting scheduling preparation and communication.
- Develop and implement sales strategies to capture rollover account opportunities with existing clients and plan participants.
- Conduct enrollment presentations and meetings with clients.
- Provide expert investment advice to plan participants and individual clients.
- Collaborate with vendors wholesalers and other financial advisors to bring in new business to the TPA Department through external to Keating advisors wishing to utilize our TPA services on their plans. Conduct presentations and meetings to explain the benefits of 401(k) plans that are compliant with regulations in collaboration with TPA Department.
- Stay updated on industry trends regulations from governing bodies and best practices in retirement planning and investment management.
- Maintain accurate records of client interactions meetings and sales activities.
- Other duties as assigned.
Desired qualifications and skills include:
- Required: Experience with financial advisory and planning services including asset classes products and portfolio management.
- Required: Familiarity with regulatory requirements and compliance in the financial industry.
- Required: Proficiency in financial software and tools.
- SECqualified for all licensing requirements including Series 65 as well as the Accredited Investment Fiduciary (AIF) designation or Certified Plan Fiduciary Advisor (CPFA) and a current life health and variable insurance license.
- Proven experience in 401k sales and plan management.
- Relevant certifications such as ASPPAs Qualified 401(k) Specialist (QKS) credential or ability to obtain within 6 months
- Strong understanding of retirement plans and investment strategies.
- Excellent communication and interpersonal skills with the ability to initiate conversations and build rapport with clients.
- Ability to develop and maintain strong client relationships.
- Detailoriented with strong organizational skills.
- Proficiency in Microsoft Office Suite and CRM softwares
- Comfortable with both remote and inperson client interaction.
- Strong analytical and research skills.
- Excellent organizational and task management skills to keep track of client casework and follow through to completion.
Required Experience:
Junior IC
Employment Type
Full-Time
Key Skills
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