Financial Advisor Securities

Job Summary

Promotes and sells Non-deposit Investment products “NDIP” and services to the public through an integrated marketing program, including branch training, relationship development, individual and group presentations, direct-mail programs, follow-up calling and other client contact methods.

Essential Functions

• Interviews and counsels customers to obtain financial background and investment goal information needed to develop a customer profile and to assist in determining appropriate investment strategies under the direction of the Financial Advisor.
• Remains thoroughly informed regarding NDIP and Bank changes in services, products and policies.
• Cross-sells other Bank products and services to new and existing customers to generate new business.
• Supports team on operational and client related issues.
• Processes new business and completes new business-related functions.
• Opens customer accounts, maintains customer files and records in accordance with OSJ requirements and prepares all required reports.
• Maintains all information relating to customer accounts and Bank affairs in strict confidence.
• Maintains a current understanding of stated procedures and policies, including regulatory compliance issues.
• Participates in continuing educational courses, as required, through NDIP, the Financial Advisors Manager and mutual fund, broker/dealer and insurance company wholesalers.
• Maintains NDIP Investment Center and display areas and handles public relations within branch locations.
• Reads and understands NDIP Compliance Manual and remains current on all communications from NDIP Compliance Department.
• Maintains confidentiality of all sensitive Bank information.
• Provides leadership to others through example and sharing of knowledge/skill.
• Maintains a positive and caring atmosphere for customers and employees consistent with Southside Bank’s mission, CORE Values, and Blue Book culture guide.
• Provides enthusiastic, professional, and courteous service to Southside Bank customers and employees.
• Participates in proactive team efforts to achieve departmental and company goals.
• Understands and agrees to abide by the policies and procedures established at Southside Bank.
• Responsible for complying with audit policies and procedures as they pertain to this position.
• Performs duties in compliance with applicable laws and regulations, including but not limited to the Bank Secrecy Act (BSA) and related anti-money laundering laws, and in accordance with the Bank’s Information Security Program.
• Must comply with all applicable laws and regulations.

Additional Functions

• Complies with all safety policies, practices, and procedures.
• Reports all unsafe activities to supervisor and/or Human Resources.
• Performs additional duties as assigned or directed.

Required Education/Experience

• B.S. Degree in Finance, Accounting and/or Business-related field; and/or 5+ years related experience.
• Strong interpersonal, written and verbal skills.
• Exceptional organizational, analytical and critical thinking capabilities.
• Strong project management skills.
• Series 7 and 66 licenses required.
• Previous sales and service support in a banking environment required.
• Ability to build relationships with customers and Bank personnel.
• Detailed oriented with excellent analytical skills.
• Excellent verbal, non-verbal and interpersonal skills.
• Excellent organizational & time management skills.
• Excellent attitude & an extraordinary client service orientation.
• Ability to handle multiple tasks & operate on tight deadlines.
• Self-motivated and self-reliant with a business appearance and demeanor.
• Ability to perform repetitive functions.

Necessary Skills

• Ability to read, analyze and interpret general business periodicals, professional journals, technical procedures or governmental regulations.
• Ability to write information and respond to questions from groups of managers, clients, customers, and the general public.
• Ability to calculate figures and amounts such as discounts, interest, commissions, proportions and percentages.
• Ability to apply concepts of basic algebra and geometry.
• Ability to define problems: collect data, establish facts and draw valid conclusions.
• Ability to interpret an extensive variety of technical instructions in mathematical or diagram form and deal with several abstract and concrete variables.
• Proficient personal computer skills including electronic mail, record-keeping, routine database activity, word processing, spreadsheet, graphics, etc.
• Prioritize, organize and handle multiple projects simultaneously.

Physical Activity/Dexterity

Manual dexterity sufficient to reach/handle items and work with fingers. Works with fingers and perceives attributes of objects and materials.

Physical Environment Demands

• Well-lighted, heated and/or air-conditioned indoor office setting with adequate ventilation.
• Moderate noise (e.g. business office with computers and printers, light traffic).