Position statement Financial Advisor Associated is The Financial Advisor or Consultant plans, coordinates, and performs activities related to sales of various financial services and investment products for the investments services division to the members of One Nevada Credit Union in coordination with our Broker or Dealer.
QUALIFICATIONS (Knowledge, Skills, and Abilities)
- Thorough knowledge of personal investment management & financial planning techniques;
- Thorough knowledge of currently available investment products and services and associated markets;
- Knowledge of Securities and Exchange Commission and FINRA rules and regulations;
- General and current knowledge of IRS reporting requirements related to personal investments products;
- General knowledge of operations and marketing functions within a financial institution;
- General knowledge of macroeconomics with emphasis on the investment market trends;
- Current Series 6, 7, 63, 65 or 66 securities licenses and ability to maintain the license(s) in good standing;
- Ability to become a Registered Representative of CUSO Financial Services or our affiliated Broker/Dealer;
- Skill in the operation of a personal computer to include Internet/Intranet, operating system, word processing, spreadsheet, presentation, email, calendar and scheduling software and other office equipment;
- Ability to obtain the CFP â designation within 36 months of hire;
- Ability to effectively apply professional sales techniques related to personal investments;
- Ability to communicate effectively, both verbally and in writing;
- Ability to analyze problems and opportunities, then evaluate and implement effective alternatives, solutions or approaches;
- Ability to plan, implement, and evaluate the achievement of goals, objectives, and work plans;
- Ability to motivate co-workers;
- Ability to maintain regularly scheduled attendance; and
- Ability to establish and maintain effective working relationships with other employees and members; and
- Must be able to relate appropriately to other people beyond giving and receiving instructions: (a) can get along with co-workers or peers without exhibiting behavioral extremes; (b) perform work activities requiring negotiating, instruction, and communicating with others; and (c) respond appropriately to constructive feedback from a supervisor.
EDUCATION AND EXPERIENCE
- Must have a bachelor’s degree and or a minimum of three years sales experience within the retail investment and insurance industry. Must possess FINRA Series 6, 7, 63 and 65 or 66 licenses as well as state insurance licenses for life and variable products.
- CFP â designation preferred.
DUTIES AND RESPONSIBILITIES
- Sales 75%
- Actively promotes, under the direction of the Member Investment Group Business Plan and Vice President Member Investments, products and services of investments services, both internally and externally;
- Coordinates and implements strategies to meet investment account volume goals;
- Coordinates with Vice President Member Investments and One Nevada Marketing department to pursue target markets to steadily build member and new member relationships, investment accounts, and assets under management, cross-sells when appropriate other One Nevada products and services;
- In coordination with Vice President Member Investments, motivates One Nevada sales staff to promote the features and benefits of investments services to generate optimum referrals via the numerous marketing channels available; seeks new opportunities and additional creative marketing channels not yet in use;
- Assists Vice President Member Investments to promote investment services directly to SEGs through the One Nevada Focu$ program in coordination with District AVP’s, seminars, and other viable means; and
- Coordinates and conducts periodic seminars for member and non-member education and promotion of investments products and services.
- Communication 15%
- Counsels and assists members to determine their personal investment objectives and goals, advises them on the various available investment choices, and uses a comprehensive financial planning approach when appropriate;
- Communicates via e-mail, newsletters, brochures, phone calls, seminars, etc., about products and personal financial planning services with members;
- Represents One Nevada to Broker/Dealer and other related agents and vendors;
- Communicates with the credit union departments about investment product sales and referrals; and
- Resolves related member account problems that arise.
- Product Management 10%
- Coordinates and/or performs account set-up and on-going account maintenance functions between One Nevada and Broker/Dealer to ensure a consistent high level of service and member satisfaction related to investments services;
- Coordinates periodic research on existing product lines and competing products, monitors financial condition of investment firms for ongoing viability, customer and broker support;
- Assists with product and sales training for credit union staff;
- Conforms to product, regulatory, legal, state of Nevada insurance and Broker/Dealer compliance;
- Attends various meetings and training sessions with Broker/Dealer, related product wholesalers, and vendors to ensure current and compliant product offerings;
- Coordinates with Vice President Member Investments to research, recommend, develop and implement new products and product changes or conversions; and
- Performs other duties that may be assigned.
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