Senior vice president, advisor
Primary Focus: The Senior Vice President, Advisor manages the firm's most complex client relationships with full independence and serves as the senior planning and relationship resource for the advisory team. Origination is a primary accountability at this level: the SVP consistently generates new client relationships, maintains a mature COI and referral network, and develops the business with discipline and intentionality. The SVP owns the development of Vice Presidents, contributes to office-level strategy alongside the Managing Director, and holds the standard for advice quality, practice management, and team culture across the office.
Key Responsibilities
Relationship Management and Advice Delivery:
Own and manage the firm's most complex client relationships fully independently, serving as lead advisor and relationship authority
Serve as service advisor on a senior-level book, transitioning service relationships to VPs and AVPs as origination focus grows
Partner with the Managing Director on the most complex relationships requiring firm-level judgment and expertise
Maintain the highest standard of client confidence: clients view the SVP as the authority on their complete financial picture
Serve as an escalation resource for client situations that require senior planning depth, relationship judgment, or firm-level coordination
Ensure the quality and consistency of advice delivered across the service team supporting SVP relationships
Develop client relationships proactively through planning conversations, life event management, and strategic expansion of the scope of services
Planning and Investment Execution:
Design and deliver the most complex financial plans across all planning domains, including multi-generational estate planning, concentrated position management, business succession, and family office-level coordination
Own investment strategy for assigned relationships with full authority; contribute to firm-level investment thinking through committee leadership
Serve as the senior planning resource for AVP and VP-level advisors on their most complex client situations
Lead practice management improvement at the office level; establish standards that translate to consistent delivery across all advisors
Contribute to firm knowledge through white papers, internal training, and committee leadership
Drive technology adoption across the team and office; hold advisors accountable for proficiency and use
Compliance:
Fulfill fiduciary obligations at the highest level; serve as the senior standard for fiduciary practice across the office
Ensure all advice and client communications across the team and office meet compliance standards without exception
Maintain required documentation and oversee compliance quality across all relationships and team members
Anticipate regulatory changes and lead the team's adaptation to new requirements
Partner with the compliance function on firm-wide matters; model and enforce compliance accountability at every level
Cross-Functional Collaboration:
Work across the investment team, Client Service team, data operations, and compliance as a senior firm partner
Represent the advisory team in cross-functional settings; communicate priorities and client needs with authority and clarity
Contribute to firm-wide strategic initiatives and serve as a senior voice in cross-functional planning and decision-making
Business Development:
Deliver consistent new client origination through COI relationships, client referrals, and direct prospecting
Own and maintain a mature referral network of COIs including attorneys, CPAs, and other professional partners
Convert prospects independently and with authority; serve as a resource for VP-level advisors building their own conversion skills
Build the office's external reputation through industry involvement, community leadership, and thought leadership
Take full accountability for client retention across the book; model retention discipline for the full team
Contribute to the office's business development strategy alongside the Managing Director
Team Development:
Take primary responsibility for developing Vice Presidents across all dimensions: client delivery, business development, and team leadership
Conduct performance reviews and career development conversations for VP-level advisors; contribute to AVP and associate reviews
Lead committee work, internal training sessions, and peer-learning forums as the office's senior subject matter resource
Serve as the cultural standard-bearer for the office: model the standards of client service, fiduciary practice, and team development expected at every level
Partner with the Managing Director on office-level strategy, staffing, and team development planning
Identify and develop the next generation of senior advisors who will carry the office's growth forward
Required Competencies
Client Relationship Excellence:
Mastery of complex client relationship management across high-net-worth and ultra-high-net-worth client situations
Recognized authority on client relationships at the senior level: clients and colleagues alike look to the SVP as the firm's planning and relationship standard
Ability to manage the most sensitive, complex, and high-stakes client situations with composure, expertise, and sound judgment
Proven track record of long-term client retention and relationship deepening
Planning and Investment Expertise:
Technical mastery across all financial planning and investment domains
Ability to design and deliver multi-generational, multi-entity, and complex planning strategies independently
Recognized internally as the senior planning resource; AVPs and VPs bring their most complex cases to the SVP
Contribution to firm-level investment and planning thinking through committee leadership and knowledge-sharing
Business Development:
Consistent originator with a mature COI network and a proven track record of independent prospect conversion
Ability to build and maintain senior-level referral relationships with attorneys, CPAs, and institutional partners
Models business development discipline and shapes the office's BD culture and strategy
Leadership and Team Development:
Proven ability to develop VPs, AVPs, and associates through structured coaching, performance management, and cultural modeling
Executive communication and presence: represents the firm with authority in client, community, and industry settings
Strategic contribution to office leadership alongside the Managing Director
Industry recognition as a subject matter expert and firm ambassador
Qualifications
Bachelor's degree or equivalent experience, preferably in finance, economics, or a related field; advanced degree preferred
Minimum 10 years of experience in financial services with a track record in complex client management and business development
Series 65 required
CFP® required; additional designations (CPWA, CFA, CEPA, or equivalent) strongly preferred
Demonstrated origination track record and mature COI referral network
Expert proficiency across all financial planning platforms, investment systems, Salesforce, and custodial platforms
Proven ability to develop VP-level advisors and contribute to office-level strategy
Comprehensive knowledge of compliance requirements, portfolio management, estate planning, and the full wealth management scope of services