A Financial Planner or Investment Consultant advises clients on financial plans and investment strategies. Discusses the client's financial objectives, focusing on investment options and products. May be licensed to buy and sell financial products such as stocks and bonds.
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JOB FUNCTION / SUMMARY
Associate Financial Advisors (AFA) partner with Financial Advisors (FA) to implement actions in client accounts in addition to planning and other investment-related activities to assist the FA with meeting and or exceeding assigned sales and referral goals. The primary objective of the Associate Financial Advisor role is to gain industry experience to prepare for a career as a Financial Advisor.
ESSENTIAL DUTIES & RESPONSIBILITIES
Partners with an experienced Financial Advisor to gain experience assisting clients achieve their financial goals. Primarily assists lower tiered clients while developing skills to build a base of clients Use a consultative sales process to determine client needs, obtain commitment and proposes solutions with assistance from Financial Advisor or Regional Sales Manager as needed Develop individualized financial plans aligned to each client's financial needs and objectives Makes full disclosures required in conjunction with selling non-deposit investment products on bank premises Discusses benefits and risks as well as other product features pertaining to possible investment solutions for the client Ensure accurate completion of all paperwork in compliance with company guidelines, prospectus delivery obligations, and fiduciary standards Receives trade orders and instructions for money movement and processes according to regulatory requirements Assists Financial Advisors on training retail associates on how to increase referral opportunities. Partners with Financial Advisors to assist and support licensed bankers by organizing financial center huddles, client appreciation days, etc. Comply with all FINRA, broker‑dealer, and firm requirements by timely completing all applicable registrations, continuing education (CE), and compliance obligations associated with licensed roles Participates in community affairs to increase company and bank's visibility and to enhance new business opportunities Routinely travels with assigned region to meet with clients at different Financial Centers and/or client's office or other location as requested by the client
Bachelor's degree preferably in Business, Finance, Accounting or related field 2 years of related experience; brokerage, insurance, or financial services or banking preferred. An equivalent combination of education, training, and experience may be considered Must currently possess Life and Health Insurance license and be in good standing Must currently possess Securities Industry Essentials (SIE), series 7 and series 66 license and be in good standing. A current series 63 and 65 registration can substitute for the series 66 ESSENTIAL
MENTAL & PHYSICAL REQUIREMENTS
Ability to travel if required to perform the essential job functions Ability to work under stress and meet deadlines Ability to operate related equipment to perform the essential job functions Ability to read and interpret a document if required to perform the essential job functions Ability to lift/move/carry approximately 10 pounds if required to perform the essential job functions. If the employee is unable to lift/move/carry this weight and can be accommodated without causing the department/division an "undue hardship" then the employee must be accommodated; hence omitting lifting/moving/carrying as a physical requirement. Equal Opportunity/Affirmative Action Employers. All qualified applicants will receive consideration for employment without regard to race, color, religious beliefs, national origin, ancestry, citizenship, sex, gender, sexual orientation, gender identity, marital status, age, physical or mental disability or history of disability, genetic information, status as a protected veteran, disabled veteran, or other protected characteristics as required by federal, state and local laws.
