SENIOR FINANCIAL ADVISOR

SENIOR MANAGING DIRECTOR | SENIOR FINANCIAL ADVISOR

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Welcome to Diamond Financial Group! As a private, full-service concierge financial services firm, we not only provide our clients with personalized consultations and customized financial strategies but also foster an empowering and positive work environment for our team. At Diamond Financial Group, we pride ourselves in offering exceptional client service while helping clients confidently plan for their financial future and beyond. As a Licensed Financial Professional, you will be at the forefront of our mission. We believe in building strong, long-lasting relationships with our clients and team, ensuring everyone’s unique needs and goals are met. Join us, and be part of a vibrant, inclusive team where innovation, collaboration, and personal growth are at the heart of everything we do. We look forward to working with you to achieve both your professional aspirations and our clients' financial dreams!

ROLE DESCRIPTION: SEEKING THE NEXT GEM

We are seeking an experienced and dedicated Senior Managing Director, Senior Financial Advisor to join our team and lead a group of licensed financial professionals while continuing to provide exceptional financial guidance and support to our clients. In this dual role, the Senior Managing Director will manage the team’s performance, mentor staff, and ensure the highest standards of client service. This individual will be responsible for helping clients achieve their personal and financial goals through tailored investment strategies, retirement planning, and risk management, while guiding the professional development of the team.

The ideal candidate will be a highly skilled Senior Financial Advisor with demonstrated expertise in financial analysis, investment planning, and risk management. They will possess strong leadership abilities, managing a team of licensed professionals to deliver exceptional results. The candidate will excel in developing customized financial plans that adapt to clients' evolving needs and market conditions. They will also prioritize building strong, trust-based relationships with clients, empowering them to make informed decisions for a secure financial future.

QUALIFICATIONS: THE SPARKLE FACTOR

▍7-10+ years of full-time experience with a proven track record of managing client relationships and experience leading and mentoring a team of licensed professionals in the financial services industry preferred.

▍Bachelor’s Degree in Finance, Accounting, or a related field preferred.

▍Certified Financial Planner (CFP) designation or similar preferred. In lieu of the CFP, the following certifications may be acceptable: Chartered Financial Consultant (ChFC), Personal Financial Specialist (PFS), Chartered Financial Analyst (CFA), Chartered Investment Consultant (CIC).

▍SIE, Series 6/7/7TO, Series 63/65, or Series 66, multiple licenses required.

▍Life and Health Insurance license required.

▍Industry expertise in 457, 401k, 403b, IRA’s and other qualified retirement plans.

▍In-depth knowledge of financial planning software, investment strategies, tax laws, and retirement planning products.

▍Strong analytical skills with the ability to develop and implement customized financial strategies.

▍Exceptional communication and leadership skills, with a client-first mindset.

▍Ability to manage multiple client relationships and prioritize effectively.

▍Advanced working knowledge of Microsoft Office Suite (Outlook, Excel, Word, PowerPoint)

▍Strong networking abilities to cultivate and expand client relationships.

KEY RESPONSIBILITIES: ENHANCING THE SPARKLE

The key responsibilities of the Senior Managing Director, Senior Financial Advisor include the following:

▍Client Advisory Services: The Senior Managing Director will provide tailored financial planning services, including investment strategies, retirement planning, estate planning, and risk management. They will analyze clients' financial situations to develop customized plans, recommend suitable financial products and services, and offer ongoing advice in response to changing circumstances. Building strong, trust-based relationships with clients will be essential to empower them to make informed financial decisions.

▍Team Leadership & Management: The Senior Managing Director will lead and mentor a team of licensed financial professionals. They will set performance goals, monitor success in client service and compliance, and oversee training programs to enhance team skills. Fostering a collaborative environment will be key to motivating the team and driving success.

▍Business Development & Strategy: The Senior Managing Director will collaborate with senior leadership to develop business strategies that expand the firm’s client base and service offerings. This includes supporting marketing initiatives and participating in high-level client engagements. Their contributions will help maintain the firm’s reputation as a leader in financial planning.

▍Compliance & Best Practices: Ensuring compliance with regulatory requirements and industry best practices is crucial. The Senior Managing Director will implement and enforce firm policies related to client confidentiality and ethical standards, promoting a culture of integrity. Regularly reviewing compliance protocols will safeguard the firm’s reputation and maintain client trust.

QUALITIES WE VALUE: FINDING THE PERFECT CUT

At our firm, we believe that the success of our clients and team members is rooted in strong personal qualities and professional integrity. We are seeking a Senior Managing Director, Senior Financial Advisor who embodies the following qualities that align with our values and mission.

▍ Integrity and Ethical Behavior: A commitment to ethical practices and integrity in all client interactions. Demonstrates honesty and ethical behavior in all client interactions and financial recommendations.

▍Strong Analytical Skills: Strong problem-solving skills and the ability to think critically under pressure. Possesses the ability to assess complex financial situations and develop effective strategies.

▍Passion for Helping Others: A client-centered mindset, always prioritizing the needs and goals of clients and a genuine desire to assist clients in achieving their financial success.

▍Meticulousness: Pays close attention to detail in reviewing financial documents, ensuring accuracy in financial planning.

▍Commitment to Continuous Learning: A proactive approach to learning and staying updated on industry trends and regulations. Stays updated on industry regulations, trends, and best practices to provide clients with the best advice.

▍Exceptional Relationship-Building: Cultivates trust and collaboration within the team and with clients, ensuring strong partnerships and effective communication.

UNIQUE SKILLS: THAT EXTRA DAZZLE

In addition to the core qualifications, we value unique skills that enhance the effectiveness of our company’s mission. These bonus skills can set candidates apart and contribute significantly to our teams’ and clients' overall success.

▍Financial Software Proficiency: Proficient in using financial planning software and tools, as well as a good grasp of digital communication platforms that enhance client engagement.

▍Advanced Investment Expertise: Familiar with diverse investment options, including sustainable investing. Demonstrates advanced knowledge of various investment vehicles and strategies, including alternative investments and sustainable investing.

▍Tax Knowledge: Possesses knowledge of tax laws and strategies to help clients optimize their tax situations in relation to their financial plans.

▍Psychological Insight: Recognizes psychological factors that influence client decision-making and guides clients through emotional financial situations.

▍Team Collaboration: Works effectively as part of a team, fostering a cooperative environment to achieve common goals while exhibiting reliability and professionalism in all interactions.

▍Strong Communication Skills: Able to explain complex financial information clearly to clients.

▍Adaptability: Quickly adjusts strategies in response to market and client needs.

▍Strategic Thinking: Anticipates trends to create forward-looking financial plans.

▍Fluency in multiple languages to serve a diverse client base.

EARNING POTENTIAL: DIAMONDS ARE FOREVER

This position offers a commission-based earning structure, with anticipated annual earnings between $178,756 and $335,236+. Actual income will vary based on individual performance, experience, and the volume of business generated. As an independent contractor, your compensation is directly linked to your sales achievements, client relationships, and ability to earn additional income through referrals and team-building opportunities. There is no fixed salary, allowing you to unlock unlimited earning potential based on your success.

▍Enjoy the autonomy of being your own boss with flexible work arrangements.

▍Unlock unlimited earning potential through an uncapped commission structure.

▍Build a successful agency with comprehensive support and industry-leading tools.

▍Benefit from additional incentives through our Referral Program.

▍Engage in a fully 1099 contract sales role as an independent contractor.

POSITION OVERVIEW

This tribrid position offers a blend of in-person, remote, and fieldwork options, providing flexibility in client engagement and team collaboration. While regular leads and referrals will be provided, success in this role heavily relies on overall drive and initiative. You'll have the autonomy to build your own business, cultivate relationships, generate leads, and maximize earnings from the resources and support of our firm, within a dynamic and collaborative environment that encourages both professional development and work-life balance. This commission-based structure, along with a year-end 1099, empowers you to grow your agency, expand your client base, and realize unlimited income potential. Our business model is designed to reward outstanding performance and offer competitive earnings for high achievers. Join us in a vibrant workplace that values your unique strengths and aspirations and the opportunity to create a business that aligns with your goals and dreams.

We are not accepting unsolicited resumes from agencies and/or search firms for this posting. ID# 2024-SMD.SFA

Job Types: Full-time Contract, Part-time Contract, Contract

Pay: $178,756.00 - $335,236.00 per year

Benefits: Flexible schedule, Professional development assistance, Referral program, Work from home

Supplemental Pay: Bonus opportunities, Commission pay, Performance bonus

Work Location: Tribrid remote in Salinas, CA 93906