Financial Advisor

Job Description

As a member of the Client’s banking division, you’ll help serve the bank’s retail and small business customers as part of one of the top banks in the United States based on deposits. The Financial Advisor is responsible for identifying needs, understanding Client objectives, and making appropriate investment/insurance recommendations consistent with compliance standards in an effort to achieve sales results and long term client satisfaction.


• Achieve and exceed both individual and branch related sales and revenue goals as defined on a quarterly basis.
• Attend and actively participate in sales meetings, training initiatives, and planning sessions related to the development and growth of the program.
• Create strong internal and external relationships in an effort to develop referral sources and meet appointment objectives.
• Develop and execute quarterly business development plans in accordance with sales management’s objectives surrounding the marketing and promotion of investment products and services.
• Hold frequent client appointments, seminars, and branch training sessions in an effort to secure long-term client relationships and provide sales leadership to internal business partners regarding investment and insurance products.
• Maintain compliance with all applicable bank, broker/dealer, State and Federal regulations associated with the sale of investment and insurance products including Policy Statement’s governing the sale of uninsured products.
• Maintain records, master operational procedures, and provide sales and activity reports per management’s request in a timely and efficient manner.
• Maintain required professional training and license requirements, including knowledge of FINRA compliance, FDIC compliance, the Bank’s uninsured Products Policy Statement, and all applicable state and federal regulations.
• Provide active mentoring and coaching to all Licensed Bank Employees (LBEs) assigned within your branch territory.
• When appropriate, provide leads to branch personnel for the sale of other bank products and services such as deposit accounts and loans.


• Bachelors or Equivalent
• License/Certificates: NASD licenses such as 6, 7, 63, 65, or 66
• Experience: 3+ years
• Experience providing investment guidance and advice to clients. Must be able to demonstrate a superior record of sales achievement while maintaining high ethical standards. Degrees such as an MBA, CFP, CHLU, or CHFC preferred
• Ability to effectively communicate and coach while responding to all customer inquiries in an effi cient manner
• Superior sales skills and have a command of all aspects of investment and insurance products including mutual funds and annuities
• Thorough understanding of economic principles and compliance standards