Financial Advisor – Sungarden is looking for dynamic and highly motivated financial advisors to join our expanding team of financial professionals. Sungarden serves a broad range of individual and corporate clients across varied industries. Joining the wealth management team means being a part of an organization and culture that is client focused, accountable and principled. Providing a strong referral base, the catalysts for engaging the team include a desire to coordinate effective planning strategies and collaboration between personal and corporate goals. This includes personal financial and wealth management, planning for business transition or corporate retirement plan strategies as well as maximizing corporate benefit programs. Education and marketing activities with partners across the team exist to further develop wealth management acquisition opportunities.

In addition to comprehensive financial strategy and investment experience, this role requires consultative communication, relationship building and collaboration skills to execute the team’s goals and risk based investment advocacy process with every interaction. With the support and guidance from senior team professionals, this role requires a confident and proactive ability to cultivate relationships and provide unparalleled ongoing advice and service.

Required Skills & Experience

• Results oriented supported by a strong work ethic.
• Reputation for integrity, consistency and sound business ethics.
• Efficiently manages time and capacity.
• Excellent communication and relationship skills.
• Actively seek to pursue ongoing professional development to expand skills and remain current with industry trends.
• Ability to team and collaborate to turn knowledge and experience into strong and productive relationships.

Qualifications

• CFP® (or CFP® candidate) with good command of financial planning, estate planning, tax planning, employee benefits planning and insurance planning
• Customer service focus with experience actively listening, eliciting information, comprehending customer issues/needs, and recommending solutions
• High level of initiative, accountability and strong desire to grow book of business
• Experience developing and cultivating professional relationships
• Good verbal, written, and interpersonal communication skills
• Solid organizational, multitasking, and prioritizing skills
• FINRA registration including Series 7 and 66 (or 63 & 65)
• Established network or book of business in the local market
• BS/BA degree or higher
• Experience using Salesforce, MoneyGuidePro, Morningstar is a plus

Job Expectations

• Deliver consistent financial plans using firm approved investment philosophy and planning techniques
• Certified Financial Planner (CFP® or candidate)
• Registration for FINRA Series 7 and Series 66 (or 63 & 65)
• Designated insurance license requirements. Compliance with state law requirements is required.
• Clean U4

Job Type: Full-time

Experience:

• financial planning: 5 years (Preferred)

Location:

• Miami, FL (Required)

License:

• Certified Financial Planner or equivalent (Preferred)
• Series 7 & 66 (or combination 63/65) (Required)

Sungarden is one of the pre-eminent independent investment advisors with offices in Connecticut and South Florida. We are a multi-year Worth Top 100 Fee-Only Wealth Management firm offering comprehensive investment advisory services to high net worth clients. We are passionate about improving the quality of our clients’ lives and seek to add a new team member to assist us with this mission.

The role of the Wealth Manager is to work with the firm’s Principals directly in managing existing and new client relationships. You will be expected to help us deliver financial planning and portfolio management to a select group of high net worth clients in an open, friendly, and fun office environment. As part of our advisory team, you will be involved in all aspects of the client relationship.

Responsibilities Include:

• Actively developing and reviewing financial plans for clients.
• Assist with reviewing and re-balancing client portfolios.
• Join in the firm’s investment committee meetings to generate new investment strategies.
• Participate in client meetings: local clients face-to-face and national clients via video conference or phone.
• Responsible for pre-client meeting activities, such as gathering data, preparing agendas, and reviewing portfolios.
• Responsible for post-client meeting activities, such as developing meeting summaries, updating financial plan changes, and coordinating planning implementation.
• Working with our key institutional partners.
• Develop advanced skills with our primary technology tools, including Salesforce, MoneyGuidePro, eMoney, Morningstar, and Redtail.
• Review and update client risk tolerance and investment policy statements.
• Coordinate with other financial professionals (CPAs, estate planning attorneys, insurance consultants) to implement comprehensive wealth management services.

Potential future responsibilities include the ability to independently develop and manage client relationships while delivering holistic financial planning advice.

Education/Qualification/Experience Requirements:

• College Degree
• Two years or more of financial planning/investment management experience
• CFP Designation- preferred or in progress of completing paperwork
• Organized and strong attention to detail
• Solid financial and analytical skills
• Possess emotional intelligence and excellent interpersonal skills
• Strong verbal and written communication skills
• Must be an independently motivated problem solver and a team player willing to wear different hats in a small office environment.
• Curiosity is expected and having fun is a must!

Benefits:

• Competitive salary with firm performance-based bonus
• 401(k) company contribution
• Paid professional dues
• Mentorship from firm’s Partners and daily learning opportunities
• Clear career track towards working independently with clients

Qualified candidates, please send your resume in PDF format and include a phone number or e-mail address where you can be reached. No phone calls, please. Thank you for your interest! We welcome your application and/or questions.

Job Type: Full-time

Portfolio Trader Job Description

Summary

Under general supervision, the Portfolio Trader is responsible for trading discretionary accounts within Sungarden’s internal advisory programs. The Portfolio Trader is responsible for all transactions associated with portfolio changes, model maintenance, periodic re-balancing, tax loss harvesting, and monitoring accounts to ensure that model portfolios are being maintained. The ideal candidate has great communication and a detailed work ethic.

Primary Responsibilities include

• Trade new accounts based on Advisor requests.
• Keep pace with daily trade blotter to ensure timely execution of trades.
• Review historical activity to ensure that trades were placed correctly.
• Periodic review of accounts for re-balancing back to model.
• Maintain model portfolios and percentage allocations for internally traded portfolios.
• Daily review of cash report to determine if any accounts need to be traded.
• Trade additions and withdrawals for Sungarden’s internally traded accounts to meet client requests.
• Responsible for account terminations that involve the liquidation of securities for Sungarden’s internally traded accounts.
• Trade corrections on internally traded and third-party manager accounts.
• Periodic reporting on particular data queries within the portfolio (e.g. amount of a particular manager held across platform, etc.)
• Other duties, as assigned by Manager.

Qualifications

• Bachelor’s degree in Business, Finance, or Economics required
• 1-2 years Operations or related experience required
• 1-3 years Managed Account processing or trading experience desired
• Strong interpersonal skills
• Extremely proficient in Microsoft Excel
• Ability to learn new software and trading systems
• Experience working with ORION software and Bloomberg systems is a plus.
• Ability to take full ownership and work with a sense of urgency and purpose
• Ability to work in a dynamic and faced paced environment
• Ability to work within a team of investment professionals as well as work independently

Job Type: Full-time

Experience:

• Excel: 3 years (Required)
• Microsoft Office: 3 years (Required)

Education:

• Bachelor’s (Preferred)

The Wealth Management Associate is a client-facing role. Through a combination of marketing methods, client-management skills, and market and product knowledge, the Wealth Management Associate partners with team members to address the specific needs and service issues of high net worth clients in order to cultivate existing client relationships. 

DUTIES and RESPONSIBILITIES:
Independently improves and streamlines the service model and operational procedures for the team.
Coordinates resolution of complex issues/concerns received from the client with input from senior team members.
Identifies practice management opportunities through various firm channels. 
Establishes and cultivates relationships with new clients and proactively helps to resolve issues and concerns. 
Provides support on products and services. 
Conducts quarterly/annual business performance reviews in conjunction with the Financial Advisor. 
May utilize financial planning tools to analyze complex financial information and lead client/prospect financial planning presentations in conjunction with the Financial Advisor. 

Additional requirements may include:
Develops customized presentation materials and manage performance measurements for existing accounts in order to attract new clients. 
Collaborates with the Financial Advisor in developing overall business plans and marketing strategies by independently targeting prospective clients and create/plan the content of seminars. 
Initiates, organizes, promotes and sets up seminars for clients and prospects on behalf of the Financial Advisor 
Independently assists clients with market and stock research. 
Independently develops, implements, and communicates new procedures, products and portfolio enhancements to high net worth clients. 
Coordinates enrollment campaigns/meetings for high net worth individuals/individual investors.
Assigns work to team’s Client Service Associate and/or Technical Analyst, as appropriate. 
Utilizes knowledge, experience, and expertise obtained through the CFP or CFA qualification process, to lead a comprehensive discovery analysis that identifies differentiating information and variables to be used in the financial planning process. 
Cultivates and develops corporate relationships. 
Attends seminars or client meetings with Financial Advisor and coordinates distribution of marketing presentations to clients.

EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS:
Education and/or Experience 

Minimum of 5 years of post-high school education and/or work experience in a field relevant to the position required. 
Four-year college degree or professional certification preferred. 
Active Series 7, 63 and 65 or Series 7 and 66. 
If required, maintain CFP or CFA designation. 
Additional product licenses may be required. 

Knowledge/Skills 

Financial industry and product knowledge preferred. 
Effective written and verbal communication skills. 
Knowledge of applicable compliance rules and regulations and firm policies. 
Able to work independently. 

REPORTS TO:
Managing Partner with potential dual report to a CIO