Associate Financial Advisor

Northwest Bank•Muncie, IN

5d•Onsite

About The Position

The Associate Financial Advisor develops new business, retains existing relationships, and builds connections with centers of influence and business partners. The position supports a Financial Advisor team by assisting with new business, managing client relationships, reviewing portfolio performance with clients, and completing client service requests. The advisor conducts securities transactions when licensed, holds educational branch meetings as required, communicates effectively with the team and management, and submits required reports on time. The role also calls for maintaining good standing in the community. The Associate Financial Advisor works from assigned Northwest Bank branch offices and collaborates with clients, prospects, branch staff, colleagues, and management. The role requires compliance with company policies and applicable regulations, effective use of department technology, and safe work practices. A bachelor's degree in finance or a related field is preferred, along with 2–3 years of relevant experience. Required licenses and certifications include Series 7, Life/Accident/Health, Series 63, and either Series 65 or Series 66, in relevant states, upon hire.

Requirements

2–3 years of relevant experience.
Series 7 license in relevant states upon hire.
Life/Accident/Health license in relevant states upon hire.
Series 63 license in relevant states upon hire.
Series 65 or Series 66 license in relevant states upon hire.
Ability to establish effective working relationships, participate in problem-solving, and contribute to decisions.
Ability to communicate ideas and information clearly and concisely, orally and in writing, in a manner appropriate to the audience.
Ability to listen actively, share information, and facilitate open exchange of ideas.
Ability to plan actions toward specific goals, track work progress, and use time and information resources effectively.
Ability to make sound decisions using perceptive and analytical processes and good judgment in ambiguous situations.
Ability to analyze financial data.
Knowledge of mutual funds, stocks, bonds, investment markets, economic fundamentals, and available products and services.
Knowledge of Custodian Accounts, investments, IRAs, estates, fiduciary matters, ERISA, brokerage account types, and employee benefits.
Ability to use Microsoft Office, computer applications, and department-specific software.

Nice To Haves

Bachelor's degree in finance or a related field preferred.

Responsibilities

Assist with setting personal goals and targets and meet or exceed annual production guidelines.
Use available technology tools and provide required reporting in a timely manner.
Cultivate potential referrals from existing clients, Retail offices, Northwest departments, and community centers of influence.
Complete financial profiles, analyze customer needs, and recommend suitable products and services while considering alternatives.
Conduct presentations, meetings, account reviews, and seminars for prospects and clients; coordinate customer documentation and agreements and correspond as needed.
Monitor client accounts and transactions on an ongoing basis.
Cross-sell Northwest products and services and provide periodic branch training.
Recommend marketing initiatives, potential business opportunities, and improvements to internal procedures.
Comply with Northwest Investment Services and broker-dealer policies and procedures, and complete required continuing education.
Comply with FINRA and SEC regulations and requirements as a licensed representative.
Conduct securities purchases and sales as directed by clients when licensed.
Review financial and investment markets daily.
Establish a presence in the community.
Minimize departmental non-payroll costs.
Work from Northwest Bank branch offices assigned by the Regional Sales Manager.
Comply with Northwest policies and procedures and federal and state regulations.
Use Microsoft Office and department-specific computer applications and software to improve efficiency.
Work collaboratively as part of a team and use on-site equipment.
Follow safety and loss-prevention rules, perform tasks safely, report injuries to a supervisor, and know emergency procedures.