Financial Advisor

Financial Advisor

Location: Bellevue, WA

Employment Type: Full-Time | RIA Environment

The Financial Advisor plays a key role in delivering comprehensive, fiduciary-driven financial planning and relationship management for an assigned portfolio of existing clients. This role is centered on service, planning, operational execution, and maintaining high client satisfaction within a structured, process-driven advisory model.

You will serve as a primary point of contact for clients, ensure their plans are updated and implemented, and support internal team members while maintaining adherence to RIA fiduciary and compliance standards.

About the Firm

A boutique, process-driven retirement wealth management firm headquartered in Bellevue, WA. The firm focuses on structured, safety-first planning and is committed to providing clients with lifelong financial security and clarity. The environment is collaborative, utilizing consistent processes and workflows rather than siloed advisor models.

Role Overview

As an Existing Client Financial Advisor, you will:

• Serve as the primary planning advisor for an assigned client base
• Lead annual and periodic review meetings using a structured planning framework
• Maintain, update, and execute client plans across income, portfolio, tax, healthcare, and estate planning topics
• Ensure recommendations are implemented accurately and timely
• Collaborate with internal teams and external partners on plan execution
• Mentor junior team members and support developing professionals
• Independently manage client account operations (withdrawals, distributions, RMD processing, beneficiary updates, etc.) within compliance guidelines

All activity is subject to fiduciary standards and compliance review. Investment advice is delivered only by appropriately licensed advisors.

Key Responsibilities

Client Planning & Relationship Management

• Serve as primary point of contact for existing clients
• Lead structured annual and periodic review meetings
• Maintain and update financial plans, including:
• Income and distribution strategies
• Portfolio and allocation planning
• Tax‑aware planning
• Healthcare and long‑term care considerations
• Estate planning coordination

Client Risk Management & Insurance

• Identify coverage gaps and income-protection needs
• Recommend solutions related to life insurance, annuities, or long-term care (within licensing scope)
• Coordinate implementation with team members and partners

Account Operations & Service Execution

• Manage day‑to‑day account operations, including:
• Distributions and withdrawals
• RMDs
• Beneficiary changes
• Service recovery and issue resolution
• Maintain accurate workflow and documentation across custodial, planning, and CRM systems

Collaboration & Mentorship

• Work closely with Senior Advisors and Client Service staff
• Mentor junior team members, including Client Service Apprentices

Client Education & Communications

• Contribute to client education initiatives (presentations, written materials, videos-subject to compliance)
• Maintain proactive, clear communication with clients

Compliance & Professional Standards

• Stay current on industry trends and fiduciary regulations
• Ensure all recommendations and documentation adhere to compliance requirements

Required Experience & Competencies

Candidates should have demonstrated experience with:

• Custodian Systems: Daily use of Schwab Advisor Center
• Financial Products & Operational Knowledge: Buffered ETFs, structured notes, private credit, private equity
• Fixed indexed annuities, whole life insurance, long-term care solutions

(Operational/service experience only; investment advice for licensed advisors)

• Planning Software: eMoney, Holistiplan
• Data Tools: Excel and/or Google Sheets
• CRM Platforms: HubSpot, Salesforce, Redtail, Wealthbox, or similar
• RIA Environment: 2-5 years in an RIA or similar fiduciary setting

Qualifications

Required

• Prior experience in financial advisory or client-facing planning
• Strong knowledge of comprehensive planning
• Series 65 (or equivalent)
• Life & Health insurance license (state-specific)
• Excellent communication and interpersonal skills
• High attention to detail and follow-through
• Ability to thrive in a process-driven, collaborative advisory environment

Preferred

• CFP® or equivalent designation (completed or in-progress)
• Experience with retiree or pre-retiree client base
• Familiarity with insurance industry and RIA fiduciary standards
• Proficiency with planning software and CRM systems

Compensation & Benefits

• Compensation: $90,000 – $125,000+
• Bonus and Commission opportunities
• Medical & dental contribution
• 401(k) with employer match
• Paid holidays and PTO
• Professional development and licensing reimbursement
• Free parking and access to on-site fitness center

The SR Group (UK) Limited is acting as an Employment Agency in relation to this vacancy.