Associate Financial Advisor

Northwest Bank•Grand Island, NY

10d•Onsite

About The Position

The Associate Financial Advisor develops new business, retains existing relationships, and builds relationships with centers of influence and business partners. The role supports a Financial Advisor team with new business development, client relationship management, portfolio performance reviews, and client service requests. The Associate Financial Advisor may conduct securities transactions, hold educational branch meetings as required, communicate with the team and management, and submit requested reports promptly. The role is expected to maintain a good standing in the community and is based in assigned Northwest Bank branch offices.

Requirements

Bachelor's degree; a finance or related degree is preferred.
2–3 years of relevant experience.
Ability to establish effective working relationships, participate in problem-solving, and make decisions.
Ability to communicate ideas and information clearly and concisely, orally and in writing, to appropriate audiences.
Ability to listen actively, share information, and facilitate open exchange of ideas.
Ability to set and pursue goals, track work progress, and use time and information effectively.
Ability to make sound decisions through perceptive and analytical processes and exercise good judgment in ambiguous situations.
Ability to analyze financial data.
Knowledge of mutual funds, stocks, and bonds.
Knowledge of investment markets, general economic fundamentals, and available products and services.
Knowledge of custodian accounts, investments, IRAs, and estates.
Knowledge of fiduciary, ERISA, and brokerage account types.
Knowledge of employee benefits.
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 license in relevant states upon hire, or Series 66 license in relevant states upon hire.

Nice To Haves

Finance or related degree.

Responsibilities

Assist with setting personal goals and targets and meet or exceed annual production guidelines.
Use available technology tools effectively and provide required reporting on time.
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 other Northwest products and services and provide periodic branch training.
Recommend marketing initiatives, new business opportunities, and improvements to internal procedures.
Comply with Northwest Investment Services and broker-dealer policies and procedures, and obtain required continuing education.
Ensure compliance 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 in Northwest Bank branch offices assigned by the Regional Sales Manager.
Comply with Northwest policies and procedures and applicable federal and state regulations.
Use Microsoft Office, computer applications, and department-specific software to maximize efficiency.
Work as part of a team and with on-site equipment.
Follow safety and loss-prevention rules, perform work safely, report injuries to a supervisor, and know emergency procedures.