1560 3rd St, San Francisco, CA 94158, USA Req #5492

Thursday, August 8, 2024

TITLE : FINANCIAL ADVISOR (WITH FINANCIAL ADVISOR ASSOCIATE)

DEPARTMENT : INVESTMENT SERVICES

STATUS : EXEMPT

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JOB CODE : 3207

PAY SCALE : $75,171.20 - $75,171.20 ANNUALLY

GENERAL DESCRIPTION :

Meet with Credit Union members to advise, develop, recommend, implement and monitor financial planning and investment products and services.

The primary products utilized are mutual funds, annuities, 529 plans and life insurance.

TASKS, DUTIES, FUNCTIONS :

Meet with members to mutually define their personal and financial goals, needs and priorities for the development of individual financial plans.
Introduce non-deposit investment and insurance products maintaining compliance standards set forth by the NASD, SEC and current broker dealer’s compliance officer.
Maintain a thorough understanding of state and federal laws and regulations related to credit union compliance including bank secrecy and anti-money laundering laws appropriate to the position.
Foster a positive and engaging work environment for the Financial Advisor Associate by promoting skills development, coaching for improvement and growth, and inspiring through words and actions.
Develop, maintain and update member-client information and files in an accurate and compliant manner.
Conduct member-client portfolio reviews on a periodic basis.
Meet with assigned branch managers and staff on a regular basis to educate on referral opportunities and to encourage referral activity.
Work with the Education Department to conduct investment related workshops for management, staff, and / or members.
Keep up to date and knowledgeable of current investment products offered through our broker / dealer.
Complete and submit weekly activity reports, annual marketing and business plans, quarterly business plan reviews and other reports as assigned on a timely basis.
Answer general questions from members in regard to investment and credit union products and services.
When appropriate promote cross-referrals or cross-sales of credit union products.

PHYSICAL SKILLS, ABILITIES, AND EXERTION UTILIZED IN THE PERFORMANCE OF THESE TASKS :

Effective oral and written communication skills required to make presentations and discuss products and services.
Must possess sufficient manual dexterity to skillfully operate an on-line computer terminal and other standard office equipment, such as financial calculators, personal computer, facsimile machine and telephone.

ORGANIZATIONAL CONTACTS & RELATIONSHIPS :

INTERNAL : Management group and staff.

QUALIFICATIONS :

EDUCATION : Bachelor of Arts degree desired or equivalent experience in the personal investment field.
EXPERIENCE : Three years of experience in the sales and delivery of personal investment products and services with at least one year experience in a financial institution.
KNOWLEDGE / SKILLS : Personal computer, oral and written communication skills, organizational skills, knowledge of credit union rules, regulations and policies, knowledge of Microsoft Outlook, Word, Excel, and Access, member relations skills, ten key, HP Calculator, and Facsimile machine skills.

PHYSICAL REQUIREMENTS :

Prolonged sitting throughout the workday with occasional mobility required.
Corrected vision within the normal range.
Hearing within normal range. A device to enhance hearing will be provided if needed.
Occasional movements throughout the department daily to interact with clients, staff, accomplish tasks, etc.
Frequent travel is required.

REQUIRED LICENSES / CERTIFICATIONS :

Valid California driver's license.
California Insurance Licenses : Life & Disability.
FINRA license 7 and 66 registration.
Financial Planning / Wealth Management Designation or obtained within two (2) years : CFP, CWS, ChFC, AIF, AAMS, CWM, WMS, CWMS, MFP, MCEP.

THIS JOB DESCRIPTION IN NO WAY STATES OR IMPLIES THAT THESE ARE THE ONLY DUTIES TO BE PERFORMED BY THIS EMPLOYEE. HE OR SHE WILL BE REQUIRED TO FOLLOW OTHER INSTRUCTIONS AND TO PERFORM OTHER DUTIES REQUESTED BY HIS OR HER SUPERVISOR THAT ARE WITHIN HIS / HER KNOWLEDGE, SKILL AND ABILITY AS WELL AS HIS / HER MENTAL AND PHYSICAL ABILITIES.

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Last updated : 2024-08-14

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Investment advisor