Financial Advisor Associate

Responsibilities

• Reviews and opens new accounts, performs account transfers for both non-qualified and qualified (Individual Retirement Account) accounts, receives and processes check requests and performs applicable account maintenance.
• Reviews all incoming paperwork from FA for completeness before submission for respective Principal review.
• Researches and resolves customer inquiries/problems, meets walk in customers and prospects, answers telephone and prepares account analysis as requested.
• Affords assistance and/or follow-up as required to Compliance for FA’s transactions.
• Stays abreast of product and internal operational updates.
• Ensures FA provided and utilizing correct and current forms and applications.
• Affords assistance to branch partners with inquiries regarding FA’s BLUE360 BISI referral entries.
• Updates FA’s calendar with client’s significant life events (e.g. birthday, anniversary, etc.).
• Prepares and mails respective greeting cards (e.g. thank you, birthday, etc.) to client.
• Prepares FA’s expense report.
• Performs all other miscellaneous responsibilities and duties as assigned.

Qualifications

• Bachelor’s degree from accredited institution or equivalent work experience.
• Possesses Financial Industry Regulatory Authority (FINRA) registration Series 7, Series 63, and Series 65 or 66 licenses and State of Hawaii Department of Insurance Life, Accident and Health license. (Bachelor’s degree is required for Certified Financial Planner (CFP) certification.)
• Two years of experience in a brokerage firm to include customer service and sales experience or equivalent working experience.
• Understanding of investment securities and the financial markets.
• Knowledge of life insurance products, strategies, and financial planning preferred.
• CFP certification preferred.
• Proficiency with personal computers in a networked environment and Microsoft applications (Outlook, Word, Excel, Access and PowerPoint).
• Knowledge of or ability to use Bank software and systems.
• Well-developed analytical and problem solving skills.
• Excellent written, verbal, and presentation skills.
• Must have the ability to express complex ideas in concise and simple terms.
• Able to make critical decisions independently.
• Possesses strong networking and business development skills.
• Has solid investment knowledge and business acumen.
• Able to build strong working relationships and partnerships across the organization with a collaborative and consultative approach.
• Able to work independently as well as function as part of a team.
• Well organized with the ability to manage time effectively while managing multiple priorities.
• Able to work flexible hours including holidays, weekends and evenings as needed or assigned.
• Must be able to provide own transportation or to operate a vehicle with a valid driver’s license and commute as required.