Financial Consultant

Primary Responsibilities

• Provide distinctive service to clients and prospects, in person and over the telephone. Respond to client inquiries and satisfactorily resolve client issues. Support firm-wide achievement of the three-ring standard (all phones answered by a live person within three rings).
• Balance new client development, sales activities, investment management, client service and compliance with a personal and professional attitude.
• Maintain and manage full scope of client relationship by evaluating client financial needs, investment opportunities, current holdings and available investment capital and help them identify their investment objectives.
• Manage client pipeline by prospecting, networking, community involvement, centers of influence and developing niches.
• Recommend investment products, solutions, and services that are suitable for prospects and clients based on predetermined client needs, time horizons, risk profile, and preferences.
• Seek expertise of internal resources to identify investment opportunities and solutions for clients.
• Open, transfer and close client accounts and maintain appropriate account records.
• Monitor the client's portfolio and make recommendations consistent with changes in economic and financial conditions as well as the client's needs and objectives, taking newly offered investments into consideration.
• Obtain and verify the client's purchase and sale instructions, enters orders, and follows up on completion of transactions.
• Complete required program training and assignments, obtain mandatory industry licenses within prescribed timeframes, mastering assessments and meet minimum performance and production standards.
• Explain the organization, participant, and function of various securities markets and the principal factors that affect them.
• Meet all the client’s financial needs, both business and personal, and refers clients to other specialty areas such as Trust, Investments, Insurance, Treasury Management, etc. as appropriate.
• Aid other team members as needed to ensure delivery of distinctive service.

Description of Experience, Education, and Training

• A High School Diploma or Equivalent – College degree is preferred.
• Minimum of 10 years’ experience in financial services industry preferably in Asset Management.
• Proficient in Microsoft Office (Word, Excel, and PowerPoint) or related software.
• Effective and proven sales experience.
• Series 7 and Series 63/65, or Series 66.
• Knowledge of Asset Management products, policies, and procedures.

Description of Capabilities, Physical Requirements, and Abilities

• Effective sales, negotiation, problem-solving, and interpersonal skills.
• Excellent verbal and written communication skills.
• Excellent organizational skills and attention to detail.
• Ability to work independently and prioritize daily tasks.
• Excellent client service skills. Tact and diplomacy in dealing with both clients and associates.
• The physical activities of this job include but are not limited to the ability to stand and sit for prolonged periods of time, use of manual dexterity, verbal communication, visual acuity, repetitive motion, and the ability to hear. Often long periods of mental concentration are required. Other activities are the ability to bend, climb, balance, stoop, kneel, crouch, reach, walk, push, pull, lift, and grasp.

Position Status

EXEMPT

Date

09.02.2021