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Senior Wealth Advisor - SAFE ACT: Resident (On-Site)



14d ago

  • Job
    Senior Level
  • Banking & Finance
  • Stamford

AI generated summary

  • You need 5-8 years financial advisory experience, strong sales skills, analytical abilities, and Series 7, 66 licenses. Bachelor's degree or equivalent experience is required. Organized, detail-oriented, and self-motivated. Basic investment knowledge preferred.
  • You will build and deepen client relationships, provide investment advice, grow portfolio through referrals, manage compliance, and coach team members.


  • 5-8 years of experience serving in a financial advisory capacity
  • Experience in a proactive, successful sales and service role in the financial services industry
  • Strong analytical and financial skills
  • Strong verbal and written communication skills
  • Organized with strong attention to detail
  • Knowledge of Microsoft Office (Excel, Outlook, and Word) and experience in financial planning software preferred
  • Basic understanding of investment and financial planning strategies preferred
  • Must be a self-starter, problem solver and a goal-oriented team player able to work without direction
  • Securities Industry Essentials – SIE, Active Series 7, 66 (or 63 and 65) licenses
  • Group 1 Insurance License
  • Education:
  • Bachelor's/University degree or equivalent experience


  • Build relationships with new clients with the goal of bringing in new bank and brokerage assets
  • Deepen relationships with existing clients in Citi Personal Wealth Management and Retail bank through the use of financial planning and excellent discovery and profiling skills
  • Respond to referrals and introductions generated through business partners and recommend the best offering to clients based on client profiling and suitability assessments
  • Make securities recommendations and provide investment advice to clients through a select number of solutions using firm models and research
  • Master referral opportunities to grow portfolio
  • Refer opportunities to segment partners where appropriate (including, but not limited to Small Business Partners, Home Lending Officer, etc.)
  • Acquire new clients through converting referral leads
  • Manage client follow-up and adhere to all Regulatory and Compliance operating procedures
  • Ensure strict adherence to KYC/AML and other compliance norms
  • Partner with all roles on branch team to ensure all clients have a positive in-branch experience
  • Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency
  • Regularly assume an informal/formal leadership role within teams, including coaching and training new recruits


What are the qualifications required for the Senior Wealth Advisor position?

The qualifications for the Senior Wealth Advisor position include 5-8 years of experience in a financial advisory capacity, experience in a proactive sales and service role in the financial services industry, strong analytical and financial skills, strong verbal and written communication skills, organizational skills with attention to detail, knowledge of Microsoft Office and financial planning software, basic understanding of investment and financial planning strategies, and the necessary licenses such as Series 7, 66 (or 63 and 65), and a Group 1 Insurance License.

What are the key responsibilities of a Senior Wealth Advisor in this role?

The key responsibilities of a Senior Wealth Advisor include building relationships with new and existing clients, responding to referrals and introductions, making securities recommendations and providing investment advice, managing client follow-up, adhering to compliance norms, partnering with branch team members to ensure a positive client experience, and assuming leadership roles within teams.

What additional certifications are required for this position?

In addition to the necessary licenses like Series 7, 66 (or 63 and 65), and a Group 1 Insurance License, the employee must also register as a mortgage loan originator with the Nationwide Mortgage Licensing System and Registry ("Registry") and obtain a unique identifier from the Registry to refer interested clients to Citibank for their mortgage needs.

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Mission & Purpose

Citigroup Inc. or Citi is an American multinational investment bank and financial services corporation headquartered in New York City. Citi's operation is to provide financial services that enable growth and economic progress. Core activities are safeguarding assets, lending money, making payments and accessing the capital markets.


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