Financial Advisor Jobs

About The Position

Requirements

• BA/BS degree
• Series 7 and 65 licenses with a clean U-4 history. (Series 66 for new hire)
• Insurance license (life & variable) in good standing in applicable states
• 7 years minimum of financial services experience
• $100k in annual revenue
• Securities knowledge, investment markets, sales skills, administration, operations, and securities knowledge
• Proficient in Microsoft Office products
• High level customer service, sales and communication skills

Nice To Haves

• CFP certification preferred

Responsibilities

• Provides investment consultation and financial planning services to bank and new bank clients; including consultation on estate planning, retirement planning, and educational funding.
• Offers a range of financial products and services to meet client’s needs and generate fee income.
• Refers clients to bank areas as appropriate.
• Develop and maintain bank employee referral network and conduct branch training.
• Adheres to bank’s policies and procedures.
• Increase Fee Income year-over-year including Reoccurring Fee Income
• Retain existing client within a normal attrition rate while leveraging the CRM notes and follow-up within Commonwealth’s Client360.
• Maintains all required client files and compliance records for office.
• Adheres to operational and compliance requirements for all applicable regulatory bodies and the affiliated broker/dealer.
• Produces sales reports, referral information and presents results to division management.
• Complete continuing education, Compliance, Firm Element, Insurance, FINRA, and CFP requirements on time.
• Achieve satisfactory internal and external audit rating.
• Ensures compliance with all banking laws, rules, regulations, and prescribed policies/practices/procedures necessary to reduce risk and uphold ethical standards related to and required by one’s duties.