Bank of the West – Santa Rosa, CA – Financial Advisor
Position SummaryResponsible for providing financial planning strategies for clients by assessing the client’s past, present and future financial needs, objectives and requirements. These needs and requirements are met by providing financial advice and investment products.
- Meets BWIS monthly sales and revenue goals by providing financial strategies for client financial needs through profiling and analyzing what investment products are in the client’s best interest.
- Completes and submits all required BWIS paperwork and documentation neatly, accurately and in a timely manner.
- Follows all policies and procedures as it pertains to client accounts and transactions.
- Maintains and follows all regulatory and BWIS compliance policies and procedures.
- Maintains licensing requirements in the form of continuing education, and fulfillment of compliance and regulatory requirements.
- Establishes and maintains relationships with branch personnel by creating enthusiasm by creative ways to generate referrals, for example, call nights.
- Provides outstanding customer service by following up on any client service request.
- Provides sales training and coaching for Financial Consultant Team member (when appropriate) in conjunction with BWIS Regional Sales Manager.
- Provides sales training and coaching for branch personnel in conjunction with BWIS Regional Sales Manager.
- In his/her capacity as an investment adviser representative creates financial plans for customers.
- Performs other duties as assigned.
Required Education or Equivalent Experience
- High school diploma or equivalent combination of education and work experience
- Two+ years of sales experience in securities/financial industry
- FINRA Series 7, 63, 65 or series 66 and state insurance license(s)
Field of Experience
- Knowledge of securities/financial industry
- Effectively communicate to diverse clientele
- Proficient in Microsoft Office software, including Word and Excel, and ability to navigate easily through Internet-based systems
- Bank product and service knowledge
- Customer service skills
- Excellent verbal and written communication skills
- Personal computer skills
- Planning and organizational skills
- Sales presentation skills
- Team player
- May supervise a Financial Consultant Team Member
- Sedentary Work: lifting a maximum of 10 pounds, frequent standing/walking