Licensed Financial Advisor

About the role

Prospects within the financial institution by partnering with customer contact associates to identify potential business clients and expand existing customer relationships.

Responsibilities

• Prospects within the financial institution by partnering with customer contact associates to identify potential business clients and expand existing customer relationships
• Engages in effective sales calls and related activities that enable access to customers who may not frequently use the traditional branch system
• Prospects outside the financial institution to identify and bring in new customer relationships utilizing CRM reports, civic and community involvement, and related activities
• Utilizes effective needs‑based relationship‑building sales strategies and monitors sales performance metrics
• Participates in job‑specific training and other bank training programs as necessary
• Maintains current knowledge of internal risk controls and loss prevention, including reporting of suspicious or unusual customer activity per bank policy
• Maintains current knowledge and complies with all federal and state laws, regulations, and established bank policies and procedures, including internal audit controls related to department operations
• Maintains current knowledge of all rules, regulations, and laws as they apply to BSA/OFAC/USA Patriot Act/CIP/AML
• Attends scheduled mandatory trainings and completes online regulatory compliance training applicable to the job function
• Volunteers for bank‑sponsored civic, charitable, and community events as encouraged by the bank’s community involvement mission
• Reports to the Investment Brokerage Manager; does not oversee other positions

Requirements

• Four‑year Bachelor’s degree in Finance or a related discipline from an accredited college or university (or equivalent experience/education)
• FINRA Series 6 or Series 7, FINRA Series 63, and Life and Health Insurance licenses (must be kept current and in good standing)
• Hard‑working team player with professional attitude, sales aptitude, and ability to work with minimal supervision

Skills

• Typing 45 wpm, 10‑key calculator, word processing and spreadsheet software, telephone proficiency