Investment Advisor - Retirement Plan Services

SWBC•Austin, TX

About The Position

SWBC is seeking an Investment Advisor for its Retirement Plan Services practice. The role serves as a trusted advisor to retirement plan clients, providing investment advisory, fiduciary, governance, and plan consulting services. The advisor assumes responsibility for part of an existing client base and develops new business through networking, referrals, relationship development, and participation in the retirement plan community. New advisors are expected to spend their first several months learning SWBC’s consulting process, fiduciary methodology, client service standards, technology platforms, and compliance requirements before taking on greater responsibility for client relationships and business development. The position is suited to a professional seeking a long-term career in retirement plan consulting, with opportunities to grow a book of business and develop through client service, relationship building, and business growth. The role requires knowledge of retirement plans and fiduciary practices, strong client service and communication skills, and a proactive approach to business development. Local and national travel may be required. SWBC is a substance-free workplace and requires pre-employment drug testing. The company does not hire tobacco users as allowed by law.

Requirements

At least seven years of experience in retirement plan consulting, fiduciary support, investment advisory services, business development, or related work.
Demonstrated ability to develop and maintain long-term client relationships.
Experience generating new business through referrals, networking, relationship development, and consultative sales.
Strong knowledge of qualified retirement plans, including 401(k), 403(b), 457, and defined benefit plans.
Strong understanding of ERISA fiduciary responsibilities, including Sections 3(21) and 3(38).
Excellent written communication, presentation, and interpersonal skills.
Strong organization, follow-through, and attention to detail.
Working knowledge of Microsoft Office applications.
Self-motivation, professionalism, and accountability.
Active Series 65 license.
Ability to travel locally and nationally as needed.

Nice To Haves

Bachelor’s degree in Business, Finance, or a related field is preferred.

Responsibilities

Provide ongoing service and retention support for assigned retirement plan clients through SWBC’s consulting and fiduciary process.
Develop relationships with plan sponsors, committee members, recordkeepers, TPAs, and other service providers.
Coordinate, prepare for, and lead client review meetings, investment reviews, fiduciary training sessions, and educational presentations.
Deliver quarterly monitoring reports and investment reviews, and communicate recommendations clearly.
Provide fiduciary education, governance support, and retirement plan consulting.
Assist clients with investment menu reviews, fee benchmarking, vendor evaluations, fiduciary oversight, and plan governance best practices.
Coordinate participant education meetings and individual participant consultations as needed.
Prepare and deliver annual due diligence reviews and ongoing client service deliverables.
Complete client commitments, follow-up items, and service responsibilities accurately and on time.
Develop and maintain a pipeline of prospective retirement plan clients.
Generate opportunities through networking, referral relationships, industry associations, conferences, and existing client relationships.
Develop relationships with CPAs, attorneys, TPAs, financial professionals, and other referral sources.
Execute business development strategies to increase market awareness and generate qualified opportunities.
Conduct retirement plan sales presentations and consultative discussions with prospective clients.
Assist with proposal development, RFP responses, finalist presentations, and onboarding new clients.
Represent SWBC at conferences, professional events, and industry functions.
Track, manage, and report business development activities and pipeline progress.
Maintain compliance with SEC, FINRA, ERISA, federal, state, and SWBC requirements.
Participate in Investment Committee meetings, peer reviews, and internal educational programs.
Maintain accurate client records, documentation, and regulatory files.
Complete ongoing professional development to stay current on retirement plan industry trends, fiduciary practices, and regulatory developments.