Financial Advisor

About the role

Provides excellent service to Members seeking information on alternative investment products offered through broker/dealer. Assists Members with mutual funds, securities transactions, and financial planning. Discusses financial investment alternatives with Members. Evaluates Member’s goals, risk tolerance and suggests appropriate investments.

Responsibilities

• Provides consultative services to Members regarding credit union products and services by assessing the Member's needs, addressing their concerns and gaining agreement.
• Updates SchoolsFirst FCU team on products and services offered through the investment program.
• Ensures required compliance documents are completed.
• Maintains regular contact with OSJ.
• Offers financial review sessions for all Members at least annually.
• Initiates Member investment selections and records transactions with broker/dealer.
• Schedules and conducts meetings with Members via phone and in person.
• Performs other duties as assigned.
• Complies with regulatory compliance and assigned training requirements including but not limited to BSA regulations corresponding to their specific job duties.

Requirements

• High School Diploma or GED required
• Bachelor's Degree in a related field or equivalent years of experience required
• 7-10 years of prior relevant experience required
• Certifications or licenses including Series 7 and 66, or Series 63 and 65 in lieu of 66
• California Insurance License required
• Participation in the CA DMV pull program may be required depending on assignment