Financial Advisor

Reference #: 8e926425-ebd6-4188-84ee-54214403c7d9
Description

Financial Advisor is responsible for the development of new business on the financial services platform and maintaining relationships with numerous sources of new business including company officials, life underwriters, attorneys, accountants and social acquaintances. The Financial Advisor- VC will also discuss the advantages of proper planning and obtaining background information on corporate or personal finances, family relationships and employee status.
Essential Functions
Develop new business on the financial services platform
Retain existing business
Initiate contacts for developing and closing new business
Conduct securities buying and selling
Develop and meet with prospects to explain Northwests investment services
Discuss the advantages of proper planning and obtaining background information on corporate or personal finances, family relationships and employee status
Maintain an ongoing relationship with existing customers to retain and develop business
Develop a high community profile
Utilize Northwest office network for referrals and prospects
Ensure mailing lists are maintained and participating in marketing initiatives and campaigns
Conduct educational meetings as required
Communicate on the development of new business accounts
Administer certain client accounts as required
Assist with setting personal goals and targets
Meet and/or exceed annual production guidelines
Cultivate potential referrals from existing clients, Retail Offices, Northwests departments and centers of influence in the community
Complete financial profiles and accurately analyze customer needs and prepare proposals
Recommend products and services accordingly, taking into account all available alternatives
Perform presentations, meetings, and seminars with prospects
Finalize new agreements and all supporting new account documentation with customers
Cross-sell other Northwest products and services
Provide product and services training for Retail Office and Northwest Department personnel on a periodic basis
Ensure Compliance with FINRA/SEC regulations and requirements (licensed representatives)
Provide required reporting on a timely basis
Monitor client accounts on an ongoing basis
Review customer account transactions daily
Coordinate customer documentation and agreements
Schedule client meetings on a periodic basis
Conduct regular investment/relationship reviews as required to retail client relationship, and securities buying and selling as directed by client (licensed representatives)
Complete timely buying and selling (licensed representatives)
Oversee/schedule client distributions / bill payments
Review financial / investment markets daily
Ensure total document and data integrity
Develop a high community profile
Initiate and author client correspondence
Assure accurate information passed to Operations
Oversee system coding on individual accounts
Adhere to stated fee schedules
Minimize nonstandard fee schedules
Ensure compliance with Northwests policies and procedures, and Federal/State regulations
Navigate Microsoft Office Software, computer applications, and software specific to the department in order to maximize technology tools and gain efficiency
Assist with setting personal goals and targets
Recommend improvements to sales and procedures
Recommend new marketing initiatives / potential new business opportunities
Recommend additions to product and services offerings
Complete special projects as they are assigned
QUALIFICATIONS
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential fun tions.

Education

Bachelors Degree Finance / related degree preferred

Work Experience

6 – 8 years relevant experience preferred

General Employee Knowledge, Skills, and Abilities

Ability to establish effective working relationships among team members and participate in solving problems and making decisions
Ability to present and express ideas and information clearly and concisely in a manner appropriate to the audience, whether oral or written
Ability to actively listen to what others are saying to achieve understanding, sharing information with others and facilitating the open exchange of ideas and information
Ability to establish courses of action for self to accomplish specific goals, develop and use tracking systems for monitoring own work progress, and effectively use resources such as time and information
Ability to make right decisions based on perceptive and analytical processes, practicing good judgment in gray areas

Additional Knowledge, Skills and Abilities

Ability to analyze financial data
Knowledge of mutual funds, stocks and bonds
Knowledge of investment markets, general economic fundamentals and available products and services
Knowledge of Custodian Accounts
Knowledge in Investments, IRAs and Estates
Knowledge of Fiduciary, ERISA and brokerage account types
Knowledge of Employee Benefits

Required Licenses and Certifications in Relevant States

Series 7
Life/Acc/Health
Series 63
Series 65
Series 66
#LI-JB1Qualifications

Licenses & Certifications
LIFE/ACCIDENT/HEALTH (required)
SERIES 7 (required)
SERIES 63 (required)
SERIES 65 (required)
SERIES 66 (required)

The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractors legal duty to furnish information. 41 CFR 60-1.35(c)

Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities