About UsContact UsFinancial AdvisorsOpportunitiesThe Search ProcessU-4 Resources


The Search





To advance the search in the most efficient and productive way, we have developed a structured process that is modeled upon years of history and results.


Prior to beginning an assignment, we sharpen our knowledge of the clientís history, including its markets, platforms, culture and competition.  Based on geographical considerations, we further define specific needs for the particular branch or region.  We will confer with regional management to confirm that both subjective preferences and real qualification needs (including any quintile prerequisites) are realized.


Once we understand the scope of the need and qualifications of the ideal pool of candidates, we prepare a Position Specification.   The specification communicates the dimensions of the opportunity and is ultimately shared with prospective candidates and a select group of individuals who are in a position to recommend prospects.


The Position Specification is distributed to all Compass Advisor Senior Recruiting Consultants (SRCs) that are assigned to the search.  Prior to executing the search, the selected SRCs are briefed by a Managing Partner to ensure that all designate parameters are clear and can be communicated in a competent manner.


For each individual region we formulate a strategy most likely to surface a broad range of candidates.  This starts with a research list.  Previous projects, additional research and past contacts in the designated region are drawn upon as well.  Using these resources, we develop leads to prospective candidates that otherwise might be difficult to identify.


The candidates that emerge are introduced to the client firm via a detailed Compass Advisor Profile (CAP).  The CAP presents facts about the candidate including all relevant numbers relating to their book of business, past experience, qualifications, achievements and background.  Also attached with the CAP is the prospectís U-4 report.


Interviews are scheduled between the client firm and candidate.  As meetings progress, we act as a conduit throughout the process.  As an objective third party, we can bridge any questions or concerns that might otherwise be uncomfortable to address earlier on.


If an offer is contemplated, our outside perspective and recruiting experience enable us to provide recommendations to our client firm on the structure of a compensation package calculated to attract the Financial Advisor.  By serving as an intermediary here, we can work out details which could have a significant bearing on the final acceptance of an offer.


Our role is not complete until the new employee has made the transition successfully and is fully integrated into the new organization.