Financial Services Professional

4 weeks ago


Athens, Georgia, United States Northwest LLC Full time
Job Summary

We are seeking a highly skilled Financial Services Professional to join our team at Northwest LLC. As a Financial Services Professional, you will be responsible for developing new business on our financial services platform and maintaining relationships with various sources of new business.

Key Responsibilities
  • 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 Northwest's investment services
  • 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, Northwest's 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 Northwest's 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


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