Financial Advisor, Charter Oak Capital Management 

A Charter Oak Capital Management (COCM) Financial Advisor will act as the principal Advisor for client relationships and facilitate the tasks for their clients within their service team. The Financial Advisor needs to have the ability to deliver all aspects of client advising and management, with occasional support and assistance from a Senior Financial Advisor.

The Financial Advisor is responsible for overseeing or directly coordinating and preparing for client meetings, making sure the necessary documents are prepared and outstanding agenda items are addressed. The Financial Advisor will facilitate all aspects of the client relationship and work with Associate Advisors, Client Service Associates, Schedulers and other COCM staff to make sure client needs are being met.

Financial Advisors will meet with clients for client reviews, manage client portfolios via various custodians, prepare and deliver financial plans and coach clients toward a path of financial success. While sourcing new business is not a primary role, it is highly encouraged.

Charter Oak embraces four core values: seeking excellence, a can-do attitude, service above self and being a team player. These values guide our thoughts, feelings, and actions both internally and with our clients. Charter Oak seeks candidates who exhibit these values as they are the root beliefs we operate from and the foundation we build our business on.

Requirements and Applicable Experience 

• Bachelor’s Degree in related field Certified Financial Planner (CFP), Certified Public Accountant (CPA), Chartered Financial Analyst (CFA) or similar designation
• 3+ years of experience as an advisor
• Current or prior registration with the SEC
• Strong financial planning background
• Comprehensive knowledge regarding investing strategies
• Proficiency in MS Suite, account management databases and financial planning software
• Analytical thinking skills and ability to assess a client's needs
• Strong emotional intellect, an ability to perceive, reason with, understand and manage emotions and an ability to guide people toward success
• Excellent communication abilities, including writing, speaking and active listening
• Effective presentation and customer service skills
• Strong time-management skills and ability to work independently

Financial Planning and Advice 

Financial Advisors are expected to provide clients with financial advice and be able to deliver a comprehensive financial plan to a client independent of outside assistance. They can independently act as the client’s primary Financial Advisor. They will provide guidance to the Associate Advisor when applicable and they will seek the guidance of Senior Financial Advisors when necessary or needed. 

Behavioral Coaching 

Financial Advisors will be the primary conductor in helping clients navigate transitions to live their best lives, weaving behavioral coaching into comprehensive financial planning and investment management. This requires strong emotional intelligence in order to perceive, reason, understand and manage the Advisor’s own emotions as well as the client’s.

Portfolio Management 

Financial Advisors have discretionary trading authority and are responsible for the maintenance of their client portfolios. They will provide guidance to the Associate Advisor when applicable and they will seek the guidance of Senior Financial Advisors when necessary or needed.

Compensation and Benefits 

The Financial Advisor’s salary is commensurate with experience and will be consistent with industry salary surveys within our competitive marketplace. COCM currently utilizes both a fixed and variable compensation model, so Financial Advisors have direct impact on their overall compensation.

Charter Oak provides a 401(k) match, paid time off, health insurance and disability plans.

Application

Applicants should apply by email to info@charteroakcm.com with their cover letter, curriculum vitae and compensation requests. Interviews and further industry testing will be part of our competitive hiring process.